2016 Year End Report For the period: April 1, 2016 – March 31, 2017 Project No. S-065811 2017

408-6190 Agronomy Road Vancouver, BC Canada V6T 1Z3 www.cirdi.ca LIST OF ACRONYMS

AMDC African Mineral Development Centre ANA Autoridad Nacional de Agua APMS Action Planning and Monitoring System APROPLASMIN Association of Owners of Plants of Ore Reduction, Smelting and Refining of Mineral Substances of El Oro Province (Ecuador) ASGM Artisanal and small-scale gold mining ASM Artisanal and small-scale mining ASSIT Agency for the Assessment and Implementation of Technology (Indonesia) CADEP Centro Andino de Educación y Promoción CCAIJO Asociación Jesús Obrero3 CEO Chief executive officer CIES Consorcio de Investigación Económica y Social CIRDI Canadian International Resources and Development Institute Co-Lab Peru Collaboratory DDH Département du Développement Humain (Mali) DFATD Department of Foreign Affairs, Trade and Development, Canada DNGM Direction Nationale de la Géologie et des Mines (Mali) DSAME Département de la Sécurité Alimentaire, de l’Agriculture, des Mines et de l’Environnement (Burkina Faso) EIA Environmental Impact Assessment EITI Extractive Industries Transparency Initiative Ethiopia SUMM Supporting the Ministry of Mines (SUMM) in Ethiopia EWB Engineers Without Borders FARC Revolutionary Armed Forces of Colombia FCM Federation of Canadian Municipalities FEMIMA Fédération des femmes minières du Mali FPIC Free prior and informed consent FAC Finance and Audit Committee FY Fiscal year GAA Graduate academic assistants GAC Global Affairs Canada GDMDS Grupo de Diálogo, Minería y Desarrollo Sostenible GEMM Global Energy, Minerals and Markets Dialogue GIZ German Development Cooperation GRADE Group for the Analysis of Development Hg Mercury HIA Health Impact Assessment ICF International Cooperation Fund

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 2 ICIRD Institut canadien international des ressources et du développement ICMM International Council for Mining and Metals IDB Inter-American Development Bank IGF Intergovernmental Forum on Mining, Minerals, Metals and Sustainable Development ILEAP International Learning Engagement and Awards Program IMAGinE Integrated management and governance in extractives Mongolia INCAM International centre for artisanal mining INGEMMET El Instituto Geológico Minero y Metalúrgico (Peru) INIGEMM Instituto Nacional de Investigación Geológico Minero y Metalurgico (Ecuador) ISID Institute for the Study of International Development (McGill University) ITCAM International Training Centre for Artisanal Miners ITT-LLDC UN International Think Tank for Landlocked Countries IWRM Integrated Water Resource Management LC Local content LC/LP Local content/local procurement LP Local procurement M&E Monitoring and Evaluation MANFORS Mancomunidad and Independencia MASc Master of applied science degree MGS Mexican Geological Survey MoSS Ministry of Strategic Sectors (Ecuador) MOU Memorandum of understanding MSV Mining Shared Value MUST Mongolian University of Science and Technology N/A Not applicable NBK Norman B. Keevil Institute of Mining Engineering NGO Non-government organizations PCQVD Payez ce que vous devez PI Principal Investigator PM Polytechnique Montréal PMF Performance Measurement Framework PWIAS Peter Wall Institute for Advanced Studies Q1 April – June (CIRDI) Q2 July – September (CIRDI) Q3 October – December (CIRDI) Q4 January – March (CIRDI) RBM Results-based management RID Resource Impact Dashboard RMD Responsible Mineral Development RRM Rapid response mechanism

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 3 SEIA National System of Environmental Impact Assessment (Peru) SENA Servicio Nacional de Aprendizaje (Colombia) SENACE Servicio Nacional de Certificación Ambiental Para Las Inversiones Sostenibles (National Service of Environmental Certification for Sustainable Investments) (Peru) SFU Simon Fraser University SNGRH Sistema Nacional de Gestión de Recursos Hídricos (Peru) TBC To be confirmed UBC University of British Columbia UEMOA West African Economic and Monetary Union UNASAM Universidad Nacional Santiago Artunez de Mayolo (Peru) UNEP United Nations Environment Program UNIDO United Nations Industrial Development Organization UNSAAC Universidad Nacional de San Antonio Abad del Cusco (Peru) WUSC World University Service Canada YTS Yayasan Tambuhka Sinta (Indonesia)

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 4 CONTENTS

List of Acronyms ...... 2 1 Executive Summary ...... 6 2 Project Description and Context ...... 6 3 Operations ...... 7 3.1 Implementation ...... 7 3.2 Institutional Governance ...... 15 3.3 Management Issues and Adjustments ...... 15 3.3.1 Management for Results...... 15 3.3.2 Risk Management ...... 17 4 Outcomes ...... 18 4.1 Highlights of Programmatic Outcomes Achieved ...... 18 4.2 Canadian Engagement ...... 25 5 Crosscutting Themes and Priorities ...... 26 5.1 Gender ...... 26 5.2 Environment ...... 30 5.3 Governance ...... 33 6 Financial report – Summary ...... 35 7 Lessons Learned and next steps ...... 36 Appendices ...... 39 A) Financial reporting – detail ...... 40 B) Institutional assessment overview...... 52 C) CIRDI active project list ...... 54 D) Annual Progress Reports for Projects under the Contribution Agreement ...... 61 Governance strengthening program of the extractive sector in West Africa [2014-009] ...... 62 Strengthening collaborative practice and enhancing the role of universities as development partners for inclusive growth in Peru (Co-Laboratorio Perú) ...... 65 The Rise in Conflict Between Mining Companies and Communities: What Lies Beneath [2014-070] ...... 70 Education and Research for Integrated Water Resources Management (IWRM) in Peru [2014-071] ...... 72 Supporting capacity-building and multi-level governance of small-scale gold mining: a collaborative project on mercury, deforestation and rural livelihoods in Indonesia [2014-077]...... 75 The Relationship Between Local Procurement Regulatory Environments and Local Procurement Strategies of Mining Companies: A Comparison of Two Sub-Saharan African Countries [2014-079] ...... 78 Blazing the path to formalisation: artisanal mining, wealth creation and rural livelihoods in Ghana [2015-010] 81 Natural gas projects and local community development in East Africa [2015-013] ...... 83 Integrated Management and Governance in Extractives (IMAGinE) Mongolia [2015-022] ...... 86 Educación para la transformacion del MAPE en el Ecuador/ Education for the Transformation of Artisanal and Small-scale Mining [2015-024B] [2015-024B] ...... 90 Transformation of Artisanal and Small-Scale Mining in Colombia [2015-024A] ...... 94 CIRDI Learning programs [2015-learning] ...... 97 Scholars and Fellows Program [2013-003] ...... 101 E) Program development tracker ...... 105 F) Meeting and consultation tracker ...... 108

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 5 1 EXECUTIVE SUMMARY

CIRDI’s work in FY2016-17 shifted from the previous year’s priorities of planning and organizational and project design, to a year of strong focus on implementation and programmatic results delivery, long-term strategy planning, institutional stability and improvement, and organizational growth and sustainability.

With its international projects underway, and key institutional developments, CIRDI has made significant progress towards planning for future success, while delivering, measuring and monitoring development outcomes today. CIRDI’s ability to deliver results and maximize impacts has required increased focus on monitoring and evaluation (M&E) as a means to strengthen accountability and learning. This last year, CIRDI conducted and completed pivotal strategic institutional exercises resulting in finalizing both CIRDI’s 5-year Strategic Plan (2016-2021), and CIRDI’s Future Growth Plan (2016-2021). Continued progress was made in planning, M&E, program development and sustainability, and partnership development and management. In this regard, key achievements include the advancement of CIRDI’s institutional Performance Measurement Framework (to be finalized in Q1 of FY2017-18), mapping of all projects to the UN Sustainable Development Goals (SDGs), and the hiring of a Director of Partnerships and Learning in Q2.

CIRDI’s projects are now all operational, in full implementation and progressing towards achievement of significant results. Highlights from the projects this year includes focused capacity building on Women, Water and Mining in Peru; the endorsement of a CIRDI-developed strategy for the sustainable development of an integrated mining sector by the West African Economic and Monetary Union (UEMOA); the launch of two research-focused projects on artisanal and small-scale mining (ASM) in Indonesia and Ghana; the start of 3 graduate scholarships (2 at UBC, 1 at SFU); and the finalization and launch of two extensive studies – one on conflict and mining (global in focus), the other on local procurement in South Africa and Namibia.

2 PROJECT DESCRIPTION AND CONTEXT

CIRDI is a coalition of three leading universities: The University of British Columbia, Simon Fraser University and Polytechnique Montréal. We are an independent centre of expertise in natural resource-led development. We work at the request of developing country governments that seek to strengthen their capacity to govern and manage their natural resources for the benefit of their people.

CIRDI was established in 2013 under a Contribution Agreement with Global Affairs Canada that provided $24.6 million over five years (2013-2018) to establish the Institute and to design and deliver an initial suite of projects. In early 2017, the Institute received approval from GAC for a one-year extension to July 2019, along with a budget reduction of 10 per cent. This reduction acknowledges a forecasted shortfall of coalition and partner in-kind contributions, which CIRDI had committed to in the original Contribution Agreement. Additional projects are supported through partnerships with other funders such as the Inter-American Development Bank (IDB) or

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 6 new project-specific funding from Global Affairs Canada, such as the Supporting the Ministry of Mines (SUMM) in Ethiopia project.

With diverse Canadian and international partners, we provide leading-practice advice, technical support, training and applied research as well as a platform for innovative thinking, knowledge mobilization and shared learning. Our academic and operational independence enables us to act as a neutral convener in complex, multi-stakeholder environments.

We concentrate our efforts in five areas:

 Improving Public Sector Capacity and Governance  Strengthening Integrated Resource Management  Transforming Artisanal and Small-scale Mining  Engaging Communities and Sharing Benefits  Building Capacity through CIRDI Learning Programs

Our work is guided by our values and incorporates three crosscutting themes: gender equality, environmental sustainability and good governance. All our decisions are informed by their potential measurable impact towards our ultimate goal of poverty alleviation. With our developing country partners, we aim to use sustainable natural resource management and governance as a driver to help achieve the Sustainable Development Goals (SDGs).

3 OPERATIONS

3.1 Implementation

The FY16-17 year was one of significant progress in institute planning and progress for stability, success and future growth. It was a year in which CIRDI reached a pivotal point; where focus shifted from “catching up” and addressing gaps and weaknesses, to looking ahead and planning for future work and impact.

Priorities for the year included:  Long term strategic planning  Institutional sustainability  Program development  Partnership engagement  Project delivery and results  Learning strategy development and knowledge dissemination  Performance monitoring and measurement  Systems improvements and team development

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 7 Strategic Plan

In the spring of 2016, the CIRDI team began a strategic planning process to lay the foundation for the future growth of the Institute, which included outreach with strategic partners. In September, CIRDI’s Strategic Plan (2016-2021) was approved by our Board and broadly distributed. The planning process, begun in FY16-Q4, produced an integrated 5-year strategic plan, with accompanying narrative and value proposition for CIRDI. The plan now guides CIRDI’s sustainability planning, engagement and communications.

The plan outlines CIRDI’s four strategic pillars with operational goals, our areas of focus and our unique offering , core values and strategic approach. Guided by and aligned with this plan, CIRDI is building a strong program development model to attract new sources of funding and support.

The four strategic pillars of the plan are:

I. Impact II. Knowledge III. Partnerships IV. Future Growth

CIRDI concentrates its efforts in five areas of focus that reflect the needs of our developing country partners and our own strengths and expertise.

1. Strengthening integrated resource management 2. Improving public sector capacity and governance 3. Transforming Artisanal and Small Scale Mining (ASM) 4. Engaging communities and sharing benefits 5. Building capacity through CIRDI learning programs

The CIRDI Strategic Plan built upon the FY16 “strategic refresh” of the organization, and the October 2015 Business Plan. This multi-year plan now guides CIRDI’s future beyond the current, main CIRDI GAC contribution agreement. You can read the CIRDI Strategic Plan 2016-2021 here on CIRDI’s website.1

Future Growth Plan

Building on the foundation of the Strategic Plan, this year CIRDI also developed a Future Growth Plan. The purpose of the Future Growth Plan (2016-2021) is to outline CIRDI’s approach for achieving a sustained level of growth beyond its founding Contribution Agreement (CA). The plan responds to a recommendation of the CIRDI Institutional Assessment, completed in March 2016, that “CIRDI prioritize conducting a sustainability assessment which should include an action plan to achieve self-sustainability, with a minimum five-year projection.”

1 CIRDI is migrating to a new website mid-May 2017. Should the links in this document not work, please visit www.cirdi.ca.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 8 As discussed above, the new strategic plan outlines four pillars of focus for CIRDI: Impact, Knowledge, Partnerships and Future Growth. While all are important to CIRDI’s success, the pillar of Future Growth identifies goals for achieving the long-term viability of the institute:

In order to continue to build the Institute, expand our portfolio of impactful projects and become self-sustaining, we will:

• Work with multilateral development banks, Global Affairs Canada, UN and development agencies, academic institutions and industry to secure future development projects that match CIRDI’s mandate and expertise.

• Pursue development opportunities that build on our existing body of work, such as replicating and/or scaling up successful projects.

• Create a culture of continued professional growth and development in the CIRDI team.

• Develop leading-practice fee-for-service products that support sustainable natural resource governance.

• Strengthen our capacity to leverage in-kind resources and other forms of financial support from the coalition universities and strategic partners.

The goals above represent work that is actively underway at CIRDI and a commitment to actively pursue program development opportunities and expand our in-kind resources as identified under the CA.

Along with the Future Growth plan, CIRDI submitted a request to GAC for a one-year extension, with the rational that a one-year extension would enable additional time for the Institute to deliver stronger results, achieve a viable funding foundation and better meet its in-kind commitment.

The Future Growth plan presented two financial projections, with and without a one year extension. Key factors considered in the scenario development were outlined, and CIRDI’s plans for developing and expanding upon partnerships, programming, and funding are provided in brief. A forecast and analysis of current in-kind totals was also included, recognizing its importance to program delivery, and meeting requirements under the CA.

GAC Contribution Agreement Decision: 10% funding reduction; one-year extension

In September, 2016, CIRDI submitted the Future Growth Plan to GAC, as part of the planning to address the long-term sustainability of the Institute. One key aspect of this plan was the analysis and projection of the in-kind commitments under the contribution agreement. The Plan provided two scenarios for the completion of the contribution agreement with detailed in-kind projections. One scenario was calculated on the basis of completing the agreement according to the original five-year schedule, and included a projection of $12.27M in-kind (75% of the original target of $16.37M). The other scenario was based on an extension of the agreement by one year,

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 9 and included an in-kind projection of $13.1M (80% of the original target). GAC responded that, due to the projected shortfall for the in-kind contribution, its funding contribution would be reduced. In late December, CIRDI received approval for a one-year extension to the contribution agreement, as well as a notification that in response to CIRDI’s forecast shortfall on its in-kind commitments (i.e. CIRDI’s contribution) GAC would be reducing its funding contribution to the Institute by 10%, or $2.46M. CIRDI immediately undertook extensive analysis and planning for this significant budget adjustment, taking into account numerous inputs and principles. One important input for the consideration of the budget reduction was the Major Projects Review conduction in January 2017 (discussed in Section 3.3.1 – Management for Results – below). On February 3rd, the CIRDI Board made decisions on allocating the 10% budget reduction across CIRDI core costs, program support, and existing and planned programming. Budgets, plans and PMF targets are now adjusted to take the 10% funding reduction into account. A contribution agreement amendment is in process, to take effect in FY18. Response to the GAC International Assistance Review

In May 2016, GAC launched a review and public consultations process focused on renewing Canada’s international assistance policy, programming and funding framework. CIRDI submitted a response, Better Lives Through Sustainable Natural Resource Governance, which focused on the following three recommendations:

1. Recognize the role of sustainable natural resource management and governance as a vital opportunity for developing countries to lift their citizens out of poverty, and share Canadian expertise and experience to help make this happen.

2. Capitalize on the deep and broad expertise in Canadian universities and post-secondary institutions to strengthen Canada’s resource governance support to developing countries.

3. Promote innovative approaches to development based on real partnerships, the generation and sharing of foundational knowledge and leading-edge research.

You can read the CIRDI response to the International Assistance Review here on CIRDI’s website.

Team Development and Management

Building on the organizational and team restructuring in FY16, CIRDI continued recruitment of key positions in FY16-17. The new Director of Partnerships and Learning, Dr. Rob Stevens, began in Q1. A Director for the new Supporting the Ministry of Mines (SUMM) Ethiopia project was hired in Q2, with residency in Addis Ababa. As programmatic implementation continued to accelerate in the second half of the year, additional positions were added in Q3, including: Human Resources Manager, Marketing and Communications Assistant, Administrative Assistant, Research Coordinator, Financial Analyst, and Program Manager (Ethiopia). Due to the continued expansion of the CIRDI Central Team, work has continued to move to another location that will better meet CIRDI’s current and future needs. (This move is now scheduled to take place in FY18-

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 10 Q3.) A CIRDI Team Charter was finalized in Q2, outlining agreed upon guiding principles for the the team. You can read the CIRDI Team Charter here on CIRDI’s website.

Capacity & Systems

The busy FY16-17 year included a concentrated effort to improve organizational capacity and systems for ensuring and measuring impact, including building team capacity in Results Based Management (RBM), development and validation of project and institutional level Performance Measurement Frameworks (PMFs), and developing an in-house, online, project management system to support operationalizing and reporting against RBM tools (e.g., the PMF). Additional information regarding these initiatives are detailed in Section 3.3.1 – Management for Results – below.

Program Development

In support of operationalizing the recently completed Strategic and Future Growth plans, CIRDI accelerated its Program Development (formerly referred to as Business Development) efforts in late FY16-17. In order to position itself for future work and impact, CIRDI is building on the foundation of project work to date, leveraging its areas of expertise, and increasing CIRDI’s profile and donors’ familiarity with its work.

Within its priority areas of focus, the Institute aims to develop a diverse future revenue stream. This past year, discussions and relationship development continued with multilateral banks, Global Affairs Canada, United Nations agencies (UNEP, UNDP, UNIDO), and academic institutions and industry, in hopes to secure future development projects that align with CIRDI’s mandate, expertise, and goals.

A major program development outcome this past year was the signing of a GAC Contribution Agreement for the five-year, $15M, Supporting the Ministry of Mines (SUMM) Ethiopia project in Q1. Additional information on inception activities for the project can be found in Section 4.1 – Highlights of Programmatic Outcomes Achieved – of this report.

CIRDI tracked opportunities throughout the year, and responded with a number of proposals:

In partnership with US Department of State, in Q1 CIRDI submitted a proposal for a $200,000 USD grant from the APEC Mining Task Force sub-fund to support programming on education in the ASGM sector of select economies. The proposal was successful and builds upon CIRDI’s existing learning and ASM work. USDOS is the APEC project overseer, and CIRDI sits on the project steering committee and will develop and deliver a course on gender in ASGM.

In Q3, CIRDI proactively identified funders to leverage funding to expand the Rise in Conflict Study.  A Social Sciences and Humanities Research Council (SSHRC) Connection Grant was applied for, focused on mobilizing the knowledge generated by the study through

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 11 a series of outreach events, including a workshop, industry outreach, and a public lecture. Unfortunately, the proposal was not successful.  Discussions continued with the UNDP Oslo Governance Centre for an incremental advance of study as follow up to the Rise in Conflict project. This work will include a Ghanaian case study, quantitative analysis focused on mining company ownership-models and a literature review focused on inter-relationships among government agencies and other stakeholders. This proposal for just over US$60,000 was successful and awarded in Q4.

In Q4, CIRDI prepared and submitted an Expression of Interest (EOI) to the World Bank for a Forest Smart Mining Initiative – identifying good and bad practices of ASM in Forest Landscapes. CIRDI’s EOI was successful, and selected for proposal submission. The Institute quickly compiled a strong team and comprehensive proposal to deliver the eight-month, US$230,000 project. Unfortunately, CIRDI’s proposal was not selected, however, the experience resulted in the development of program development tools and materials, and team experience that will be valuable for CIRDI’s future Program Development efforts.

Since Q2, discussions have been underway with UNEP and UNIDO on CIRDI becoming a key partner for the National Action Plans (NAPs) under the Minamata Convention on Mercury. Funding for NAPs is allocated as an enabling activity under the Global Environmental Facility (GEF) chemical waste focal area through implementing UN agencies. CIRDI has been identified as an important partner for the implementation of NAPs, and will identify target countries of focus in coordination with UNEP in FY18.

For additional information for the Program Development opportunities CIRDI is currently tracking, please see Appendix E, Program Development Tracker.

Partnership Engagement

The new Director of Partnerships and Learning began his role in June. An early priority for the Director was to (re)engage CIRDI’s original partners, listed in the Contribution Agreement, as well as to reach out to new and additional Canadian and international expert and industry associations, institutions, government bodies, and other Canadian and international stakeholders. Outreach included meetings with Agriteam, CESO, WUSC, Hudbay, IM4DC, Golder Associates, Canadian embassies and heads of missions, the World Bank and various United Nations agencies, among others. Partners were briefed on CIRDI activities, plans and approaches. Future and ongoing opportunities for collaboration were explored. Partners were also engaged to provide input on the CIRDI Strategic Plan. CIRDI delivered workshops and participanted in panels at a number of partner-led events, including the Intergovernmental Forum (IGF) on Mining, Minerals and Sustainable Development, the Prospectors and Developers Association of Canada Conference (PDAC), and the annual Association for Mineral Exploration (AME BC) Roundup. See Section 4.2, Canadian Engagement, and Appendix F, Meeting and Consultation Tracker, for more information.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 12

CIRDI Branding

In fall 2016, following a comprehensive search process, CIRDI contracted a Vancouver agency to design and develop a new logo and brand guidelines, a new bilingual website (English, French with select sections in third languages, primarily Spanish) and a short introductory video, for a cost-effective budget of $30,000.

Photo Contest

In December 2016, CIRDI invited project team members to participate in a photography contest to generate images for the new website. We received close to 100 photos from six countries depicting various aspects of CIRDI’s work. The three winning photos captured community engagement in Tanzania, artisanal mining in Colombia and peer-to-peer learning in Mongolia. You can see the winning photographs and read the photographers’ commentaries on here CIRDI’s website.

New CIRDI Logo

In late December, after a consolidated input process with the CIRDI team, a new logo and brand guidelines were introduced. We had challenged the designers to capture a sense of collaboration, social and environmental sustainability, integrated natural resource management and good governance, and to reflect our institutional values.

Working in the natural colours of blue and green, the designers produced a mark composed of symbiotic shapes that suggest: two hands working together expressing care and collaboration and a mountain mirrored in water, capturing the interconnection of all natural resources.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 13 Collateral Development and Event Participation

In early 2017, CIRDI presented its new logo and associated collateral (banner, brochure, photography and project briefs) at Association of Mineral Exploration of British Columbia (AMEBC) Round Up, Indaba and PDAC as well as the Gender, Mining and Water Resources conference in Lima. It was also introduced in the March 2017 e-newsletter and via Twitter.

CIRDI Booth at AMEBC Round Up CIRDI SUMM Ethiopia Country Case Study at Indaba

CIRDI project briefs

New Website

Following the completion of the logo and brand guidelines, the new website design and development began, which was guided by the Strategic Plan and reflected the growth and development of the Institute. Homepage and inside page designs were approved in February, and English and French content was near completion by the end of March.

CIRDI homepage design screen shot – top half of page

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 14 3.2 Institutional Governance

There have been a number of important improvements to CIRDI’s institutional governance in FY16-17. A key milestone was the completion of a CIRDI Governance Manual, which was approved by the CIRDI Board in November. This document codifies the terms of reference for all CIRDI committees, as well as CIRDI’s accountability frameworks for governance and programming decisions. At the CIRDI Board’s request, this manual is being expanded to include a preamble that clarifies in more detail the current operating realities for CIRDI, particularly in terms of the CIRDI coalition. This preamble will detail each coalition member’s role and responsibilities. Another achievement came in December, when GAC approved CIRDI’s Future Growth Plan, including a 1-year extension on the Contribution Agreement. In the fourth quarter, the CIRDI Board was in active recruitment for new members possessing expertise in law, gender and Spanish, as well as seeking a First Nations member. New Board members are expected to join in Q1 FY 2017-18.

3.3 Management Issues and Adjustments

3.3.1 Management for Results

Development of key RBM (results-based management) and reporting tools: CIRDI Central program staff and the teams (including staff, faculty and students) of the five long-term projects completed RBM and monitoring and evaluation (M&E) training in Q1. The training, as well as ongoing coaching, was provided by a team of M&E experts engaged by CIRDI. At the project level, CIRDI’s major initiatives in Peru, West Africa, Mongolia, Ecuador and Colombia refined project design, set baselines where data was available, established key performance indicators and set targets in line with national and institutional priorities. Over the year, ongoing training was offered to CIRDI Central staff to deepen their understanding of RBM and associated reporting tools, including logic models and PMFs, as well as collection of baseline data. Training also emphasized how the project’s PMFs relate to the institutional logic model and PMF, and the cross-cutting themes.

The institutional and project-level Performance Measurement Frameworks (PMFs) were completed and submitted to GAC at the end of Q1, with the project-level PMFs approved. All major projects are now tracking progress against PMF indicators and targets. Over Q3 and Q4, GAC provided detailed comments on CIRDI’s institutional PMF and Logic Model. This feedback has been incorporated into both documents and it is anticipated that they will be approved by GAC in Q1 of FY2017-18.

Major Projects Review: CIRDI’s six major projects were approved (as 5 projects) by the CIRDI Board in October 2015. In January 2017, one year into implementation, CIRDI conducted an external review of these projects at the Board’s request. The review panel members consisted of Louis Guay (Consultant and Senior Fellow, Saint Paul University), Arlin Hackman (Consultant and former Vice-President, Conservation, World Wildlife Fund) and Susan Joyce (Principal and

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 15 Co-Founder, On Common Ground Consultants Inc.), whom all generously provided their time and expertise in-kind. The review supported the success of the projects and their development outcomes and informed the Institute’s overall programmatic strategy on its mandate. The review was constructive in nature, focusing on opportunities for improvement, course correction and organizational learning. A report detailing project strengths, opportunities, areas for improvement, general observations and recommendations was released in the fourth quarter of this year.

10% Budget Reduction and Project Redesign: As discussed above, following the CIRDI Board’s approval of a model for allocating the 10% budget reduction in February 2017, project teams were informed of how their projects would be impacted by the reduction allocation. Reductions ranged from 0 to 53%. The Board also passed a motion requiring that project leads revise their project plans, including the definition of project outputs (e.g. products, course curricula, reports, etc.) and budget, to implement the approved reductions. The CIRDI Central office worked closely with all project teams throughout this process to ensure that the projects continue to move forward and achieve positive development outcomes. Feedback from the Major Projects Review also provided guidance on how to enact the reductions. The revised project plans were submitted and reviewed by the Executive Committee in Q4.

United Nations Sustainable Development Goals (SDG) Mapping: The CIRDI Strategic Plan (2016- 2021) identified the SDGs as a key framework for assessing the transformational impact of our projects. Over Q3 and Q4, assessments of alignment between CIRDI programming and the UN Sustainable Development Goals (SDGs) was completed. Encompassing both current and recently completed CIRDI projects, this mapping exercise evaluated projects for their impact on SDG targets, and identified SDGs of focus where projects will have the most impact. Conducted in collaboration with CIRDI’s program teams, SDG mapping assists with the design and evolution of projects, and provides input on CIRDI’s institutional contribution to development targets as defined by the SDGs. This exercise continued into Q4, and content produced is planned for publication and will be incorporated into the upcoming re-design of the CIRDI website.

CIRDI has identified 10 SDGs where we believe our projects can have the most impact. Through global partnerships to improve resource governance (SDG 17), CIRDI aims to reduce poverty (SDG 1) by creating enabling conditions for inclusive and sustainable economic growth (SDG 8). Our projects are designed to deliver development outcomes that strengthen institutions (SDG 16), protect forests, biodiversity (SDG 15), and water resources (SDG 6), while advancing climate action (SDG 13) through innovative solutions (SDG 9). CIRDI is committed to advancing gender equality and the empowerment of women and girls (SDG 5) and ensuring equitable and quality educational opportunities for governments, communities and indigenous peoples (SDG 4).

Institutional Assessment: In the past year, out of a total of 28 actions responding to the observations made by Samson & Associates in their Institutional Assessment Report, CIRDI has successfully completed all but four of these actions. Of these four, three are expected to be completed within the first quarter of FY 2017/18. An up-to-date action plan is attached as Appendix B.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 16 Development of a Web-based Project Management System: CIRDI has engaged a consultant to develop an open source web application to manage project data in support of best practice project management across CIRDI’s program of work (project scope, schedule, budget), Results- Based Management (RBM) and related monitoring and reporting, in-kind contributions tracking, project-related administration (e.g. MOUs, travel approvals), and client relations management (Expert Roster, Partner database, Business Development tracking). The application, known as CIMAS (CIRDI Information Management System), will be launched in Q1 of FY18.

Approval of In-Kind Methodology: Upon the recommendation of GAC, CIRDI submitted a simplified in-kind methodology to GAC in December 2016. This was approved by GAC on December 23, 2016. This will facilitate capturing in-kind with greater ease and will better allow CIRDI to fulfill its obligations to GAC.

3.3.2 Risk Management

With regard to Operational Risks OP1-OP5 found in the Annual Work Plan Risk Register, over the past year CIRDI has made progress on OP1, OP2, OP4 and OP5. CIRDI has been successful in retaining a qualified and dedicated team of professionals (OP1), as well as in establishing an effective team structure which covers the essential functions to deliver on CIRDI’s mandate (e.g. program staff, administration, finance, communications, etc.). CIRDI recruited a Director for Partnerships and Learning in the second quarter and this position has been actively engaging with strategic partners, as well as new partners, to help leverage CIRDI’s work and secure cash and in-kind support for it. CIRDI Program Managers have also been very active in both broadening CIRDI’s network of partners, and in helping to create opportunities to collaborate and leverage the institute’s work.

For OP4, each project has been assigned to a Program Manager, who closely works with that project’s personnel and monitors progress according to project-level performance measurement frameworks completed in the first quarter.

For OP5, CIRDI established a Strategic Plan, and a Future Growth Plan, to guide the institute in its future planning and towards becoming sustainable. The Strategic Plan and elements of the Future Growth Plan were discussed in depth with the CIRDI Advisory Council, who provided valuable insights drawn from their international expertise. These insights have been captured in two meeting reports, available on CIRDI’s website. What is also relevant for OP5 is that planning is ongoing around the possibility of CIRDI becoming its own legal entity, and that the Board is continuing to discuss and explore different governance models for CIRDI (with the support of legal counsel).

For OP3, the integration of the oil and gas sector into the institute’s activities, this year CIRDI continued its research project in Tanzania, where it worked to improve access to information and mobilize knowledge for stakeholders and community members affected by natural gas development processes there. This project is a good example of how CIRDI works, and will be useful for CIRDI as discussions regarding the institute’s future continue, especially for developing strategic partnerships with Canadian institutions with expertise in oil and gas. These partnerships

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 17 are actively being discussed, and form a part of the larger discussions of CIRDI becoming its own legal entity.

4 OUTCOMES

4.1 Highlights of Programmatic Outcomes Achieved

INDIVIDUAL PROJECT PROGRESS SUMMARY

This section includes key immediate and intermediate outcomes for Global Affairs Canada-CIRDI funded projects (under the May 2013 Contribution Agreement) for FY 2016-2017. Please see Appendix C for the CIRDI active project list and Appendix D for complete progress reports (including project profiles). Also see the 2016-2017 Annual Work Plan, dated May 31, 2016, for more information.

Governance strengthening program of the extractive sector in West Africa [2014-009]: On track – Support to strengthen extractive sector governance capacity in West Africa through UEMOA has been steady this year with important milestones reached. The strategy for the sustainable development of an integrated mining sector has been endorsed and approved by State Members (8) and the Comité interne de la Stratégie of the Commission, with tools for the operationalization of the strategy in place. In Senegal, the Letter of Sectorial Development Policy has been approved by the Minister of Industry and Mines, and its operationalization is underway. A study on the mining sector in the Kedougou region has been completed. Central to these activities is knowledge mobilization, increased interdepartmental collaboration at UEMOA, and enhanced access to information for government officials for improved decision-making. In support of the Universities of Dakar and Ouagadougou, teaching material for new teaching units have been elaborated and should be finalised in the first quarter of FY2017-18. Strategies for internships in the mining industry and applied research are in the process of being defined. These programs will be launched in FY2017-18. Working with universities will serve to mobilize knowledge and enhance capacity on technical mining topics in both target countries. This year, program activities in Mali were officially ended due to safety concerns.

Strengthening collaborative practice and enhancing the role of universities as development partners for inclusive growth in Peru [2014-017]: On track – Two Women’s Leadership Circles were held in Peru this past year, strengthening the capacity of women participants stemming from mining communities. Themes and topics addressed included the generation of actionable strategies, policies and projects to work with the government (MIMP), the economic empowerment of women and access to education, gender violence in mining areas, and gender inclusion in decision-making. The project also made significant progress in collaborating with the Universidad Católica San Pablo (UCSP) and other stakeholders in Arequipa on the design of the region’s Co-Lab program. Launching in Fall 2017, the program is designed to enable students to critically evaluate how specific groups within the Arequipa region are excluded from participating in markets, and how innovative, sustainable initiatives for more inclusive growth and shared governance can be created to address this problem. The Co-Lab Peru website (colabperu.org) went live in December 2016, and functions as a platform to increase awareness,

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 18 engagement and capacity around issues related to mining in Peru. In the fourth quarter, social media channels (Twitter and Facebook) were integrated with the website to encourage broader engagement, and YouTube is being used to showcase video interviews with community leaders. Collaborative research this year focused on identifying baseline engagement and pilot project parameters through a co-design process; identifying target communities in the design of impact assessment processes and metrics; and working on the pilot digital consultation tool (i.e. automated surveys and consultations) to gather community sentiment and project impact on livelihoods in mining-impacted communities. The CoLab Peru team also analyzed governance mechanisms related to Negotiated/Community Benefit Agreements and Environmental Impact Assessments, and private sector-funded social and development initiatives within the Peruvian extractive sector.

The rise in conflict between mining companies and communities [2014-070]: Complete – This year, the Conflict Study Final Report and all its appendices were completed and submitted to CIRDI for review, with the final report published on CIRDI’s website in Q4. The study mobilized knowledge and increased access to information on leading global practices for extractive sector policies and regulatory frameworks in relation to mining-related conflict. The dissemination of this research will enhance the capacity of diverse stakeholders in developing countries to innovate, adapt or adopt these leading global practices to their local contexts and policies in order to better mitigate and/or manage conflict. The final report facilitates an improved, systematic understanding of conflict and mining, including contextual factors, underlying drivers and triggers, the roles of key players and the contribution of all these factors in defining the conflict histories and trajectories. The UNDP is currently funding an incremental advance of this study focused on the role of government in mining-related conflict.

Education and research for integrated water resource management (IWRM) in Peru [2014- 071]: On track – IWRM maintains consistent progress towards immediate outcomes, through successful implementation of core activities and outputs. In the third quarter, CIRDI facilitated a National Workshop on Environmental Participatory Monitoring Committees in Lima, with over 200 participants. The workshop increased access to information on the composition, location, scope and resources of participatory environmental monitoring groups, and fostered an improved understanding and awareness of the roles, leading practices and resources of these groups. In the fourth quarter, CIRDI organized a conference on Women, Water and Mining in collaboration with the School of Public Policy at Catolica University. This conference had over 180 men and women participants, and enhanced awareness of the role of women in water management in Peru, including the challenges and impacts of mining on women’s lives, including indigenous and rural women. Participants of both the workshop and conference included representatives from government, industry, academia, NGOs and civil society.

Three courses from the UBC Certificate in Mining Studies (CMS) are now part of the recently approved Water and Mining Diploma at the Pontifica Universidad Católica del Perú – this year these courses were developed, finalized and translated. In the fourth quarter, fifteen students took the online and in-person modules of the Integrated Watershed Management course, with the remaining two courses to be delivered in Q1 of FY2017-18. The Cerro Verde Case Study results were presented at the 28th World Mining Congress in October 2016 and at the Risk and Resilience Solutions Conference in November 2016. The case study illustrates how a

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 19 collaborative approach to a business need, a community issue and an environmental challenge can create an innovative solution. The final report will be shared with partners and made available on CIRDI’s website. Research collaborations continue on themes related to water resource issues with various Peruvian universities.

Supporting Capacity-Building and Multi-Level Governance of Small-Scale Gold Mining: A Collaborative Project on Mercury, Deforestation and Rural Livelihoods in Indonesia [2014-077]: On track – This project officially launched in April 2016, and project implementation focused on generating critical baseline for the ASM sector in Central Kalimantan, Indonesia. This information was generated through over 110 individual interviews and focus group discussions with key ASM stakeholders from national, regional, and local governments and miners associations, the development of a methodology and draft guide for visual methods data collection, and over 60 mine site visits (during which the visual methods data collection was implemented). The baseline information enabled identification of key challenges and strategic intervention points for sector improvement, formalization, and reduced Hg-use. The baseline research conducted this year feeds directly into improving the ability of ASM stakeholders to make coordinated and data- based decisions regarding effective ASM sector policy in Central Kalimantan. Dissemination of the baseline data occurred through the project lead’s key-note address at the “Community Mining in Indonesia: Minimizing Harm, Maximizing Benefits” conference in Jakarta, the completion of two academic papers (currently under review), and over 20 meetings with association presidents and government officials. Through the collection and dissemination of this information, the project made significant strides towards strengthening awareness of the socio- economic, political, technical and environmental dimensions of gold mining in 3 districts in Central Kalimantan (Katingan, Kapuas and Gunung Mass), and improving connectivity and communication for improved and coordinated decision making regarding ASM among policymakers, larger companies and other stakeholders. Local procurement regulatory environments and strategies [2014-079]: Complete - This study, completed and launched in the fourth quarter of this year, will lead to the improved formulation and implementation of extractive sector policies and regulatory frameworks affecting employment and local content through an improved understanding of local procurement policies in Nambia and South Africa. The report details the relationship between local procurement and development outcomes, and the specific, anticipated benefits of local purchasing in Namibia and South Africa; the extent to which mining companies are upholding local procurement regulations; local procurement strategies of mining companies operating within South Africa and Namibia; and factors that influenced mining companies to develop their local procurement strategies in a particular way. The final report was completed in the fourth quarter and was officially launched at the Investing in Mining Indaba Conference in Cape Town, South Africa, and later at the Namibia University of Science and Technology (NUST). Through this outreach, findings were shared with mining regulators from across sub-Saharan Africa, including South Africa and Namibia. The report was also launched on EWB and CIRDI’s websites and disseminated through both organizations’ networks. Through mobilizing and disseminating applied research findings, this study increases access to information on leading global practices on local procurement. This study contributes to a growing body of research that will assist in the adoption of local procurement policies, thus increasing the degree to which mining companies purchase their goods and services locally.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 20 Blazing the Path to Formalization: artisanal mining, wealth creation, and rural livelihoods in Ghana [2015-010]: On track – This fiscal year, this project established a replicable research method for tracking financial flows in artisanal and small-scale mining (ASM) communities – “the financial dairies method.” Research on ASM financial flows commenced in Ghana in Kobriso, Japa and Noyem, with the first six months of data collection now complete (out of 12). The principal investigators trained one Ghanaian researcher from the Twarka University of Mines and Technology in the financial diaries method, and was provided ongoing support to implement the research. The research generated from this project will support deliverables that will increase the number of Ghanaians with the critical and creative skills to better understand extractive sector policies and regulatory frameworks affecting employment and local content. Through the research carried out jointly between the principal investigators and the Ghanaian research team, the project continues to move towards the improved formulation and implementation of gender-responsive extractive sector policies and regulatory frameworks affecting employment and local content. Natural gas projects and local community development in Tanzania [2015-013]: Delay – Through community-based research and a one-day workshop facilitated, this project improved access to information and mobilized knowledge on the views and goals of stakeholders and community members directly or indirectly affected by the gas development processes in Tanzania’s Mtwara region. In Q2, 841 households in 10 villages in rural Mtwara were interviewed for the baseline survey; this was complemented by 10 stakeholder interviews. 32 stakeholders participated in a one-day multi-stakeholder workshop held at the University of Dar es Salaam in August 2016. Through the workshop, knowledge was mobilized on how government and other stakeholders can implement gender responsive community-level development initiatives in gas producing regions. Workshop participants also gained access to the preliminary results of the baseline survey findings. In Q3 the project’s academic lead, Vinay Kamat, presented the findings of this work at the American Anthropological Association, 115th Annual Meeting, held in Minneapolis on November 20, 2016. It is anticipated that the final report will be submitted to CIRDI in Q1 of FY2017-18. The final report submission is delayed due to illness within the project team.

Integrated management and governance in extractives (IMAGinE) Mongolia [2015-022]: Variance – This project was downsized this year to focus on the ICF-CIRDI workshop series due to contracting challenges and CIRDI’s 10% budget reduction. The primary Immediate Outcome targeted via the workshop series was to increase the number of men and women in Mongolia and ICF target countries with the critical and creative skills to understand and implement gender- responsive extractive sector fiscal policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices. To this end, CIRDI and the ICF facilitated two workshops focused on the state’s role in resource governance – one in Mongolia in May 2016, the other in the Kyrgyz Republic in November 2016. 116 delegates (32% female) from Mongolia, Afghanistan, Kyrgyz Republic, Laos, Myanmar and Timor Leste, representing government, industry and civil society, participated in these workshops. They received training and participated in discussion forums on the formulation and implementation of gender- responsive extractive sector policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices. For select participants, the workshops included mine site visits to Oyu Tolgoi in Mongolia, and Kumtor in the Kyrgyz Republic. This

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 21 enhanced knowledge of global best practices related to the implementation of large scale mining projects among the study tour participants.

Educación para la transformacion del MAPE en el Ecuador [2015-024B]: Variance - The Ecuador ASM project was officially slotted for re-design at the very end of FY2015-16. Therefore a significant portion of 2016-17 was dedicated to project re-design. This included project development, and the negotiation and validation of the project logic model, the governance framework, PMF, implementation timelines and budget breakdown with project partners. The process of project re-design deepened commitment of the national government to sustainable educational interventions for ASM; increased inter-institutional cooperation among national and municipal government ministries; strengthened connections of international academics with Ecuador’s ASM research network; and buoyed the National Institution of Mining, Metallurgical, Geological Research (INIGEMM) as a critical actor in addressing the challenges of ASM in Ecuador, both in terms of their mandate for research and in delivery of technical assistance. In addition to the project re-design, preliminary data was collected to support decision-making regarding ASGM training interventions in Portovelo-Zaruma and Ponce Enriquez.

Transforming ASM in Colombia - [2015-024B]: Variance – This smaller, short-term project is still in its inception phase; it is anticipated that it will transition into implementation in FY2017-18. Partnerships and knowledge mobilization were advanced this year and will serve to provide a solid foundation for project implementation. Advances on project design, inception and partnership development included scoping missions in September and November 2016, the latter including field visits to Cauca and Choco. Choco was chosen as the project field location, where local mining associations and miners expressed interest in participating in this project and an alliance was forged with a UNIDO project being carried out in the same location. The project team secured the support of the Colombian Ministry of Mines, and initial contact was made with the National University in Medellin, where faculty have expressed interest in collaborating on this project. The Logic Model and other project documentation has been amended to reflect objectives of local miners and miners’ associations.

CIRDI Learning [2015-Learning]: Variance – The intermediate outcomes targeted via CIRDI’s Learning Program for this fiscal year were to improve the ability of stakeholders within the extractive sector in target countries to align gender-responsiveness and environmental sustainability within governance, policy and regulatory frameworks, integrated resource management frameworks and policies that affect employment and local content. Towards this end, the Learning team focused on building CIRDI’s learning program infrastructure. Efforts included assessing the training needs of targeted developing-country governments, planning and developing course content, and commencing course delivery with a training program on Mine Closure in Tanzania and Ghana. In addition, curriculum development and course planning are underway for training modules on two priority themes: Tailings & Environmental Impact Assessment, and Gender Issues in Artisanal & Small-scale Mining. These activities benefit from insights provided by our team of professional experts that include UBC faculty, local and global consultants, and a director from Indigenous and Northern Affairs Canada. Furthermore, CIRDI convened an array of workshops, presentations and learning events related to CIRDI’s mandate,

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 22 including a workshop at the Prospectors and Developers Convention (PDAC) in Toronto, a panel presentation at the IGF in Geneva, and a Trudeau Foundation Roundtable in Vancouver. CIRDI scholars and fellows program [2013-003]: On track – This fiscal year, the Scholars and Fellows Program was reviewed as part of the CIRDI Learning Program development by the new Director of Partnerships and Learning. As a result of this, CIRDI’s implementation strategy for this program was revised to focus on shorter-term fellowships. The program continues to progress and meet its outcome of enhanced capacity and knowledge of developing country scholars, interns and fellows related to the development, management and governance of their country’s extractive industries in order to stimulate economic growth and reduce poverty. Applications are continuously being reviewed, with several scholarships, research internships and fellowships beginning or ending during this fiscal year, with final deliverables and reports submitted. Two research internships (completed), two fellowships (1 completed, 1 ongoing until Q1 FY2017-18) and three graduate student scholarships (2 at UBC, 1 at SFU; ongoing until 2018) were awarded and implemented this year. Planning, and logistical and coordination activities were ongoing, including travel arrangements, support for study, work permit and visa applications, accommodation arrangements, and development of work plans for the students and fellows. In the fourth quarter, CIRDI issued a call for fellowship applications as part of our reinvigorated strategy, with applications currently under review by the CIRDI Executive Committee. Decisions will be made in Q1 of FY 2017-18. Another call for applications is anticipated for Fall 2017.

Projects funded outside of the Main Contribution Agreement:

Kenya Minerals Audit Division – Assessment [2014-069] Complete – The Kenya Mineral Audit project, financed by Global Affairs Canada (GAC), successfully drew to a close in Q1. This project focused on conducting a needs assessment and elaboration of an action plan for the creation of a Minerals Audit Unit within the Government of Kenya. The objective of increasing the capacity of the Government of Kenya to monitor mineral extraction activities and associated revenue flows is to improve the quality of information about activities in extractive sectors, to ensure compliance with relevant regulations and contractual agreements, to reduce the risk of fraud, and to increase transparency and accountability in the extractive sectors. The Needs Assessment and Proposed Action Plan were revised as per Ministry of Mines and GAC comments, and were submitted and accepted in April 2016. The International Lessons on Mineral Auditing and Building Mineral Audit Capacity chapters of the project deliverable are useful knowledge products that CIRDI can transfer to similar initiatives.

Supporting Technical Training in Extractive Industries in Guyana [2014-071] Complete – Funded by the Inter-American Development Bank (IDB), CIRDI successfully completed the final dissemination workshop with the Government of Guyana in June 2016 to bolster workforce skills development for the extractive sector. The workshop was successfully carried out over two days with over 30 participants from the Guyanese Government and ASGM sector. The final project deliverable was a comprehensive Regional Scoping Study detailing the state of ASM, environmental compliance, and ASM-related training initiatives in seven Central and South American Countries (Guyana, Suriname, Brazil, Ecuador, Colombia, Panama, and the Dominican Republic). It was submitted in Q2. The IDB will publish the report, recognizing CIRDI authorship.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 23 Through this project, CIRDI assisted the Guyanese government in the development of curricula, upgrading of training facilities, and the delivering of vocational and technical training focused on the extractive industries, with a specific focus on environmental and social sustainability. Performance indicators demonstrated strong results in increasing the number of qualified trainers and instructors, improving the skills of local miners and technicians, and ensuring public officials receive appropriate training and qualifications in oversight and management responsibilities in the sector. The project achieved the desired results and was identified as the most successful training intervention in Guyana to date by the national government.

Ethiopia: Supporting the Ministry of Mines (SUMM) [2014-078] On-going – The project Supporting the Ministry of Mines (SUMM) in Ethiopia responds to the Government of Ethiopia’s request for Canada’s support to strengthen its emerging mining sector. CIRDI is providing expert services to support improved efficiency and transparency of mineral licensing, gender sensitive professional development, and enhanced geo-science coverage.

The project began this year with the signing of Contribution Agreement on April 27th, 2016, followed by an inception phase and is now in full implementation. Mr. Isabeau Vilandré was appointed as the Project Director based in Addis Ababa. During the initial inception phase, a six- member specialist team undertook a mission to Ethiopia which focused on working with our partners, the Ministry of Mines, Petroleum and Natural Gas (MoMPNG) and the Geological Survey of Ethiopia (GSE), in finalizing the project design and building consensus with the senior officials at MoMPNG on the overall strategy and results framework for the project. During Q2, CIRDI worked with the project partners to ensure that the project planning was aligned to deliver on the key project documents (Logic Model and Performance Measurement Framework). These documents were validated and revised to harmonize with government planning priorities, particularly the Ethiopia Growth and Transformation Plan (GTP) II. Resulting from this intense consultation and collaboration, the Project Implementation Plan (PIP), first annual work plan (November 2016 to June 2017), and five-year budget were developed, and delivered in Q3 and were unanimously approved by the Project Steering Committee on November 30, 2016. During this period CIRDI also established the project office in Addis Ababa with the support of the Ministry, and began building the local team.

CIRDI supported the participation of an Ethiopian Delegation at Investing in Mining Indaba in Cape Town, South Africa (February 6-9, 2017) and at the Prospectors and Developers Association of Canada (PDAC) convention in Toronto, Canada (March 3-6, 2017). The goal of the delegation’s participation was to enhance visibility and international exposure of Ethiopia and the SUMM project at these key international mining fora, as the project moves toward implementation. At Indaba in Cape Town, CIRDI sponsored a special Country Case Study session which offered detailed insight into Ethiopia's mining sector and the challenges and opportunities that the country has for further developing its presence as a competitive place to develop mining projects.

Swiss Programme for Research on Global Issues for Development (r4d) On-going - Measuring the local development impact of resource extraction [2016-002]: The objective of this project is to enhance understanding of the development impact of resource extraction and to contribute

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 24 to evidence-based policy. This project will also lead to the creation of a framework for data collection and analysis that will allow the comprehensive monitoring of the economic, social, environmental, and institutional effects of resource extraction. CIRDI's support is provided in- kind in the form of an expert consultant. In Q2, CIRDI assisted in the development and design of the two pilot modules of this project, which will be carried out in Burkina Faso and Mozambique. Both modules will consider four types of capital utilized in extractives projects including natural capital, human and intellectual capital, social capital and physical or manufactured capital, and will assess the contributions and impacts that mining projects may have on sustainability. CIRDI was invited to review and comment on the project design and to consider applying the methodology in other countries after it has been piloted in the two target countries. In Q4, CIRDI reviewed the draft framework and data collection methodology produced by the project team. CIRDI's support is provided in-kind in the form of an expert consultant who is providing his time in-kind for this work; NADEL is covering all costs associated with travel.

4.2 Canadian Engagement

CIRDI continues to build and strengthen Canadian partnerships and awareness of its work across the country. One of the highlights this year was a roundtable discussion on natural resource governance in Ottawa, which CIRDI facilitated in partnership with the Centre for International Policy Studies at the University of Ottawa in June. This roundtable, which featured a presentation by CIRDI’s CEO and its academic advisor from SFU, focused on CIRDI’s development and strategic priorities. This session included representatives from a number of CIRDI’s strategic partners in government, industry and civil society. There was strong support for CIRDI’s strategic direction and good input on opportunities for collaboration. Some specific input from this session included:

 CIRDI as a broker for knowledge and expertise. There was broad support for a CIRDI roster or database that would facilitate connections and collaboration. Several participants suggested CIRDI reach out beyond the coalition and become more pan-Canadian, drawing on expertise in other institutions and provincial authorities.  The role of provinces in resource management. Several speakers noted that it is important to engage and tap into the practical expertise that exists at the provincial level on resource development and environmental assessment.  Strong support for CIRDI’s capacity building role. Discussion included how to assess results and impact, particularly how capacity building results in improvements in governance.  CIRDI’s role in policy development. There was good discussion related to opportunities including offering assistance to developing country governments on policy making on the sustainable development of natural resources. CIRDI could provide examples and best practices and serve as a centre of expertise on policy in the resource sector for other agencies, including international organizations.  Canada’s track record on dialogue, collaboration and multi-stakeholder processes. Participants noted the opportunity to extend this to development, especially related to sustainable resource development. Some important recent breakthroughs in the co- management of resources with indigenous groups were highlighted.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 25

Further Canadian engagement was facilitated through a partner and industry outreach session in early October in Toronto, organized in partnership with the Prospectors and Developers Association of Canada (PDAC). This led to good discussion with a range of industry members about CIRDI’s work and future opportunities. CIRDI also took the opportunity for one-on-one meetings with Barrick, Hudbay, Lundin Mining and Yamana Gold along with the PDAC team. A similar outreach event took place in Vancouver in early November in partnership with the Association for Mineral Exploration (AME) and hosted by Goldcorp.

In February 2017, CIRDI presented at a Women in Mining BC Lunch and Learn on “Gender, Mining and Sustainable Development: Extracting Equality across Global Production Scales.” At PDAC this past March, CIRDI led a workshop on “Understanding the Essential Building Blocks of Integrated Resource Management.” This half-day workshop examined the social and physical elements of integrated resource management through expert presentations, case studies, breakouts and a panel discussion. Participants included government personnel from developing countries, industry, civil society, associations and international development agencies. CIRDI also participated in the Extractive Sector Multi-Stakeholder Dialogue Session of the Canadian Institute of Mining and Metallurgy (CIM) Conference in May 2016, and had a booth at Roundup, the annual conference of the AME of British Columbia.

CIRDI also convened a number of workshops, presentations and learning events during the year for audiences in Canada. At UBC, CIRDI hosted a presentation on “Advancing Water Stewardship in Mining: From the Site to the Catchment,” as well as a Trudeau Foundation Roundtable on CIRDI’s work. A Dialogue Session on CIRDI was hosted by the Liu Institute in the first quarter to engage the broader UBC community. CIRDI also presented at the Earth Science Department at SFU in September 2016 on opportunities for collaboration with faculty and graduate students. CIRDI’s Conflict Study results were presented at Ryerson University’s Institute for the Study of Corporate Social Responsibility in December 2016. CIRDI also engaged in a significant number of one-on-one meetings and focus group discussions with government agencies, industry associations, civil society representatives and academics.

5 CROSSCUTTING THEMES AND PRIORITIES

5.1 Gender

While developing countries and development aid agencies alike recognize that a thriving natural resources sector can have a catalytic effect for meeting sustainable development goals, current practices are not necessarily geared towards ensuring that the benefits and social goods generated as a result of investments in the sector are distributed evenly. Viewed through the lens of women’s empowerment, a number of barriers and challenges remain in the areas of employment and economic advancement; discrimination and harassment; environmental health; and stakeholder engagement and governance. These challenges provide the backdrop for CIRDI’s work on gender-responsiveness within the extractives sector.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 26 Barriers for Women in the Extractives Sector

 Employment and economic advancement: The extractive sector has traditionally been labor intensive, and recent analysis by the World Bank suggests that outdated social stereotypes have deterred women from seeking employment in the sector. In addition, women have been underrepresented in fields such as engineering and geology, and are therefore systemically excluded from recruitment pools that prioritize technical skills. The lack of progressive human resources policies such as paid maternity leave and flexibility for balancing other gendered social roles such as childcare have also served to limit women’s participation in the sector. It is estimated that women make up only 10% of the workforce in global extractives operations.

In countries where the mining and oil and gas industries play a dominant role in the economy, these barriers to entry may restrict women’s employment to the informal sector where they face greater economic vulnerability such as precarious or seasonal work. Furthermore, evidence from development economists suggest that these barriers have a significant knock- on impact on economic development. While men are more likely to spend salaries on disposable commodities, tools and social goods, women are more likely to invest salaries in meeting basic household food security needs, health and mobile phones.

 Discrimination and harassment: For the small percentage of women employed in the sector, reports suggest that they face higher levels of discrimination and harassment than their male counterparts. This includes verbal and physical intimidation, threats and/sexual harassment. Indeed, in some regions, women report that keeping their mobility in the job market depends on sexual favours. Policies to ensure safe working spaces and mechanisms to handle complaints with fairness and sensitivity are also lacking. Beyond direct employees, the extractives sector can perpetuate significant harm to women in the community, as mine-sites have been associated with higher levels of human trafficking, abusive forms of prostitution, harassment and sexual violence.

 Environmental health: Across the sector, negative environmental impacts generated by the extractives sector may disproportionately affect women. While men employed in the sector may benefit from formal occupational health and safety programs (where they exist), these programs and access to healthcare more generally may remain out of reach for women in the community. In addition, traditional gender roles such as collecting water, washing household items, and food preparation put them at higher risk of coming into contact with dangerous pollutants that are released into the environment in the absence of integrated waste management and pollution prevention strategies. Pollution of the environment and local waterways may also harm female-centric livelihoods that stem from the local natural capital.

 Stakeholder engagement and governance: Women have been gravely underrepresented in positions of leadership and authority within the extractives sector (both within the government and the private sector). They have also tended to be marginalised during state-

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 27 sponsored or private-sector led stakeholder engagement efforts and community consultations about potential extractive projects. For instance, although women may have unique insights on how community displacement programs could affect long-standing social and environmental dynamics (for example when traditionally nomadic indigenous groups are forced to opt for settled habitation) they are not always given the opportunity to voice their concerns or ideas.

CIRDI’s Approach for Gender-Responsiveness in the Extractives Sector

CIRDI is committed to Global Affairs Canada’s policy on gender equality and has integrated gender equality into the design, delivery and evaluation of our programmatic work and operational activities. We emphasize gender equality to help ensure that both women and men contribute to decision-making on resource development. In addition, CIRDI is developing an institutional-wide gender strategy to ensure our work on gender mainstreaming is effective and directly addresses the critical challenges noted above. This plan will be finalized and actively implemented in FY2017-18. While CIRDI Central staff received training on this theme in Q3 – for enhanced integration of gender into the projects – the finalization of this strategy was delayed due to prioritization of the finalization of the institutional PMF and project re-design due to the 10% reduction.

CIRDI’s goals in implementing the cross-cutting theme of gender equality are:

 To advance women’s equal participation with men in CIRDI’s programs and activities  To support the realization of women’s human rights in the formulation of policies and regulations for the extractive sector  To reduce gender inequalities in access to and control over the resources and benefits of extractive industries and CIRDI’s activities

To promote these goals, CIRDI is working directly with developing country governments to advance gender mainstreaming in their policies, regulatory frameworks and revenue investment plans. Needs assessments, which form the foundation of CIRDI’s projects, identified the needs of both women and men as they relate to project outcomes. These needs are addressed in project planning and implementation; all project PMFs include gender-sensitive indicators.

To help local governments formulate policies that will help women access revenues generated by mining activities, CIRDI is working directly with women groups to formulate policy recommendations, is enhancing women’s decision-making capacity through relevant training, and is identifying best practices for women’s successful participation in formalized ASM for replication in other locations. CIRDI is also addressing gender-based violence, women’s rights and economic opportunities for women and girls by increasing women’s access to information, data and educational opportunities. Within the context of ASM, CIRDI is working with diverse stakeholders, including women, towards the enhanced formalization and regulation of the sector. Well-planned formalization and regulation reduces vulnerabilities for women and girls,

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 28 such as gender-based violence, and enhances economic opportunities for women. Our research projects are also engaging with women and men to better understand their differentiated needs. The dissemination of these findings will support evidence-based, gender-responsive decision- making at the government level, particularly at the local level.

CIRDI’s projects continue to integrate gender equality into their activities, including the collection of gender disaggregated data, the development of curriculum and workshops with gender as a focus, and the convening of forums of women community leaders in its priority countries. Below are some notable achievements from this fiscal year. More gender-related outcomes and progress on this cross-cutting theme can be found in Appendix D, Annual Progress Reports for Projects under the Contribution Agreement.

 Blazing the Path to Formalization: artisanal mining, wealth creation, and rural livelihoods in Ghana [2015-010]: This project continues to learn from and document the voices of marginalized youth and women working in the informal ASM sector. Gender disaggregated roles and risks for vulnerable groups in ASM, including children, are being considered in ASM financial flows. This information will feed into financial policy recommendations, which will include consideration of the differential needs of each gender.  Natural Gas Projects and Community Development in East Africa 2015-013]: Gender considerations were built into project activities (survey and workshop) related to domestic natural gas projects in Tanzania. Of the 33 individuals who participated in the workshop, 33% were women (including 3 from rural Mtwara- the project’s research area). At this workshop, Dr. Rosemarie Mwaipopo’s presentation addressed rural Mtwaran women’s views of how their lives were negatively impacted by the gas project. Many of the households in the gas- impacted villages are women-headed households in need of a reliable income, with many of the women landless, living as rural squatters. The research demonstrates that women are not accorded special consideration in decision-making forums on what needs to be done for people in the context of gas exploration.  Education and research for integrated water resource management (IWRM) in Peru [2014- 071]: In the fourth quarter, CIRDI organized a conference on Women, Water and Mining in collaboration with the School of Public Policy at Catolica University. This conference had over 180 men and women participants, and enhanced awareness of the role of women in water management in Peru, including the challenges and impacts of mining on women’s lives, including indigenous and rural women. Participants included representatives from government, industry, academia, NGOs and civil society. All project activities will increase the profile of the diverse roles of women in water management, identify challenges and opportunities for women within this field, and increase women’s access to information, data and educational opportunities. This will advance women’s equal participation as informed decision‐makers in shaping sustainable development in their communities.  Strengthening collaborative practice and enhancing the role of universities as development partners for inclusive growth in Peru [2014-017]: This project has embedded gender as an integral theme, with a focus on making women’s concerns and perspectives in mining contexts more visible, and to develop women’s capacities to lead and plan strategically to address mining-related social, economic, and environmental challenges. For example, in

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 29 December a Women’s Leadership Circle was held in Arequipa. This was an invitation-only meeting with nine women leaders from communities with mining activities in the region. At this meeting, opportunities for a leadership program were explored and participants learned from each other’s leadership experiences in their communities. The Ministry of Women also engaged with the Co-Lab Peru team to explore common ground and collaboration in ongoing Women and Mining research.  CIRDI Learning [2015-Learning]: Gender balance is a consideration in recruitment of participants in CIRDI's ongoing Scholars and Fellows Program and will also be for future learning programs, with an aim of equal representation of women and men among participants. CIRDI works to ensure that males and females are targeted equally in terms of outreach and that there are no barriers to participation from either gender. So far award recipients include six males and five females. A gender perspective and gender inclusivity will be an important element of training that involves community engagement and consultation, particularly related to environmental assessment and closure planning. Mineral economics curricula will incorporate supply chains and value-added projects that will include the role of different genders in the economic life cycle of mining operations. These and other gender aspects will be fleshed out with the development of the curriculum. CIRDI is also developing a specific course on Gender and ASM for the APEC Commission that is designed for government, communities and industry. Over the past year, CIRDI has facilitated several outreach events with a focus on gender. For the Intergovernmental Forum on Mining, Minerals, Metals and Sustainable Development (IGF) in Geneva, CIRDI organized a panel on Gender in Mining. The session involved a panel presentation which was followed by discussion of gender-related impacts, challenges and opportunities at different mining production scales relevant for developing country governments. At the Women in Mining BC – Lunch and Learn (February 2017), CIRDI staff delivered a presentation on “Gender, Mining and Sustainable Development: Extracting Equality across Global Production Scales.”

5.2 Environment

CIRDI is incorporating the cross-cutting theme of environmental sustainability in all its work, in accordance with GAC’s priority theme of increasing environmental sustainability.

Environmental Challenges for the Extractive Sector

Throughout with world, developing countries dependent on natural resources are challenged by the opportunity to manage their resource endowments in ways that will stimulate poverty reduction and achieve long-term development goals. Deforestation, soil erosion, the loss of biodiversity, and contamination of soil, groundwater and surface water by chemicals from mining processes are examples of some of the environmental challenges associated with resource extraction. Environmental degradation, exacerbated by climate change, perpetuates poverty. Natural resource management policies that encourage both resource development and socio- ecological resilience are necessary to facilitate sustainable poverty alleviation.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 30

CIRDI’s Approach

CIRDI’s mandate is to further the sustainable management, development and governance of natural resources. Environmental sustainability is also incorporated as a core value in CIRDI’s Strategic Plan, representing the institute’s core values. CIRDI’s programs are designed to foster social, economic and environmental sustainability, to contribute to the overall well-being of the communities they serve, and to meet the needs of present and future generations. Key areas of focus within CIRDI projects include land-use planning, public geoscience, sound chemicals management, clean water access, and environmental impact assessments.

To promote the institute’s environmental sustainability goals, a workshop was held in the third quarter to enhance the capacity of CIRDI Central’s program managers to address cross-cutting themes, including environment. This allowed all projects to prepare a strategy for addressing environmental considerations through their implementation and monitoring/ evaluation phases to ensure compliance with the Canadian Environmental Assessment Act, 2012 (CEAA 2012). These strategies are based on GAC’s environmental sustainability integration principles – do no harm, mitigate environment-related risks, and capitalize on environmental opportunities. Each project has environmental sustainability integrated into their PMF, with indicators chosen based on needs assessments and consultation with local stakeholders. International conventions and standards, such as the Minamata Convention on Mercury, alongside the SDGs, will serve as tools and guiding principles to ensure compliance with the CEAA. The revision and implementation of the environmental sustainability strategy was delayed this year due to prioritization of the finalization of the institutional and project PMFs, and project re-design due to the 10% reduction.

CIRDI also continues to focus on using interactive, user-friendly learning approaches and methodologies that will reduce the carbon footprint of program delivery. Blended learning with strong online components, online platforms and the use of social technology are central to CIRDI’s program delivery. This will enhance access to our learning products and increase their sustainability. Research reports and policy papers will also be made available online, ensuring maximum outreach with minimal environmental impact.

CIRDI’s projects continue to integrate environmental sustainability and stewardship into their activities, including research and training for enhanced data-based decision-making, design and execution of educational programming and training on integrated resource management, mine waste management and mine closure, and technical training on mercury reduction for ASM. This work is carried out in collaboration with diverse stakeholders, including the Ministries of Environment where possible. Below are some notable achievements from this fiscal year. More environment-related outcomes and progress on this cross-cutting theme can be found in Appendix D, Annual Progress Reports for Projects under the Contribution Agreement.

 Education and research for integrated water resource management (IWRM) in Peru [2014- 071]: In the third quarter, CIRDI facilitated a National Workshop on Environmental Participatory Monitoring Committees in Lima, with over 200 participants. The workshop increased access to information on the composition, location, scope and resources of

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 31 participatory environmental monitoring groups, and fostered an improved understanding and awareness of the roles, leading practices and resources of these groups. Participants included representatives from government, industry, academia, NGOs and civil society. Three courses from the UBC Certificate in Mining Studies (CMS) are now part of the recently approved Water and Mining Diploma at the Pontifica Universidad Católica del Perú – this year these courses were developed, finalized and translated. In the fourth quarter, fifteen students took the online and in-person modules of the Integrated Watershed Management course, with the remaining two courses to be delivered in Q1 of FY2017-18.  Governance strengthening program of the extractive sector in West Africa [2014-009] – La stratégie UÉMOA s’intéresse à la préservation de l’environnement, énergie, aménagement du territoire. Principe directeur du plan sectoriel interministériel (LPSD): la préservation de l’environnement et de la biodiversité. Ce thème à l’UCAD au Sénégal pour le nouveau programme de Maîtrise couvrira les aspects suivants: Initiation à l’approche interdisciplinaire autour de la gestion durable des rejets miniers, Management de l’Environnement, Méthodes et techniques des sciences de l’environnement appliquées aux rejets miniers. Et au Burkina Faso: Génie de l’Environnement, Science de l’Environnement, Environnement et gestion des rejets miniers.  Educación para la transformacion del MAPE en el Ecuador [2015-024B]: This project aims to enable and empower local and national level actors to manage mercury and other heavy metal pollution, through reduced (and where possible eliminated) mercury use, as well as improved tailings and waste management. Outputs that focus primarily on environmental issues include Hg-free gold processing research, tailings management research, pilot training on improved (“greener”) processing and tailings management, and the design of a long-term training program to address – amongst other things – environmental impacts of ASM in Ecuador. The Ecuadorian Ministry of the Environment is a project partner, sitting on the project’s Technical Working Group.  Supporting Capacity-Building and Multi-Level Governance of Small-Scale Gold Mining: A Collaborative Project on Mercury, Deforestation and Rural Livelihoods in Indonesia [2014- 077] - The project’s entire focus is on environmental governance: it focuses on building the capacity of regional and national decision-makers to implement environmental agreements – especially the Minamata Convention on Mercury and REDD+. The intervention consists of collaborative evidence-based development, implementation and evaluation of policies, and capacity-building activities to strengthen environmental governance. This year, baseline information was gathered which enabled the identification of key challenges and strategic intervention points for sector improvement, formalization, and reduced Hg-use. The collection and dissemination of this information promotes environmental stewardship through a better understanding of the technical and environmental dimensions of gold mining in the three target districts of Central Kalimantan (Katingan, Kapuas and Gunung Mass).

 Natural gas projects and local community development in Tanzania [2015-013]: This research project explores the meanings people individually and collectively give to their experiences of environmental dispossession. In the case of the gas project development in Mtwara, those who lost their farmland and intergenerational trees to the gas project were

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 32 not only concerned about the economic loss they incurred, but also how the project permanently damaged their landscape. There is a persistent feeling among many residents that instead of creating opportunities for local employment, the gas project will push the people of coastal Mtwara toward more hardships and insecurities.

5.3 Governance Leading development assistance organizations define governance as the exercise of authority or power in order to manage a state’s economic, political and administrative affairs. Although governance is a highly contested and contextual concept, CIRDI finds the set of principles outlined by the United Nations Development Program (UNDP) a very valuable framework within which to ground our efforts towards improving the governance of natural resources and the extractive sector in developing countries (See Box 1).

Box 1: UNDP Principles of Good Governance2 Key Principle Associated Principles 1. Legitimacy  Participation – all men and women should have a voice in decision-making, and Voice either directly or through legitimate intermediate institutions that represent their intention. Such broad participation is built on freedom of association and speech, as well as capacities to participate constructively.  Consensus orientation – good governance mediates differing interests to reach a broad consensus on what is in the best interest of the group and, where possible, on policies and procedures. 2. Direction  Strategic vision – leaders and the public have a broad and long-term perspective on good governance and human development, along with a sense of what is needed for such development. There is also an understanding of the historical, cultural and social complexities in which that perspective is grounded. 3. Performance  Responsiveness – institutions and processes try to serve all stakeholders.  Effectiveness and efficiency – processes and institutions produce results that meet needs while making the best use of resources. 4. Accountability  Accountability – decision-makers in government, the private sector and civil society organizations are accountable to the public, as well as to institutional stakeholders. This accountability differs depending on the organizations and whether the decision is internal or external.  Transparency – transparency is built on the free flow of information. Processes, institutions and information are directly accessible to those concerned with them, and enough information is provided to understand and monitor them. 5. Fairness  Equity – all men and women have opportunities to improve or maintain their well- being.  Rule of Law – legal frameworks should be fair and enforced impartially, particularly the laws on human rights.

2 Adapted from The Institute on Governance. See: http://iog.ca/defining-governance/

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 33 Governance Challenges for the Extractive Sector

Corruption, illicit financial flows, tax evasion, land disputes, displacement, the degradation of natural capital and clear violations of human rights are very often linked to the exploitation of natural resources. These dynamics have been explored in a considerable body of literature on the ‘resource curse’ which finds that the lack of basic frameworks for legislation, taxation, stakeholder consultation, compensation and grievance mechanisms pose significant barriers for states to ensure that the exploitation of natural resources serve as an aid for sustainable long- term growth and development.

CIRDI’s Approach

In the past fiscal year, CIRDI’s research and project partners have affirmed the pressing need to address these challenges and the importance of maintaining governance as a cross-cutting theme for our projects and activities. In particular, our approach recognizes that the mutually- reinforcing effects of good governance, human rights and sustainable development are well- established by the international community. For example, in relation to Sustainable Development Goals (SDGs), the UN Human Rights Commission observes: “Effective governance for sustainable development demands that public institutions in all countries at all levels conform to international human rights standards and principles, and thus that they be non-discriminatory, inclusive, participatory, and accountable to people. Laws and institutions must protect human rights under the rule of law, including in the economic sphere.” To ensure the most effective and strategic use of CIRDI’s resources and expertise, in the past year we prioritized work on three specific governance challenges:

1) Enhanced access and participation in decision-making processes on resource governance issues, especially for vulnerable populations (women and indigenous communities) 2) Improved institutional governance capacity through technical capacity building on replicable and contextually-relevant best-practices 3) Increasing uptake for revenue transparency measures in the extractives sector Below are some notable achievements from this fiscal year. More governance-related outcomes and progress on this cross-cutting theme can be found in Appendix D, Annual Progress Reports for Projects under the Contribution Agreement.

 Governance strengthening program of the extractive sector in West Africa [2014-009] – La stratégie de l’UÉMOA s’intéresse à la gouvernance minière ainsi qu’à l’amélioration du cadre réglementaire du secteur minier. Principe directeur du plan sectoriel interministériel (LPSD): le respect des droits humains et la prise en compte des intérêts des populations locales. Les Unités d’Enseignements (UE) proposées au Sénégal traitent de l’Environnement, Gouvernance et Développement, Cadre Institutionnel et politique, Sociologie et impacts de la mine sur les sociétés. Au Burkina Faso les UE seront en Politique et Socio-économie et Gestion de Projets.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 34  Supporting Capacity-Building and Multi-Level Governance of Small-Scale Gold Mining: A Collaborative Project on Mercury, Deforestation and Rural Livelihoods in Indonesia [2014-077]: The baseline research conducted this year feeds directly into improving the ability of ASM stakeholders to make coordinated and data-based decisions regarding effective ASM sector policy in Central Kalimantan. Dissemination of the baseline data occurred through the project lead’s key-note address at the “Community Mining in Indonesia: Minimizing Harm, Maximizing Benefits” conference in Jakarta, the completion of two academic papers (currently under review), and over 20 meetings with association presidents and government officials.

 Blazing the Path to Formalization: artisanal mining, wealth creation, and rural livelihoods in Ghana [2015-010] – Financial flow data collected this year will give indication of any taxes paid or unpaid (including informal taxes/bribes), which will provide insights on the governance and formalization of the sector; financial data may also give indication of illicit or exploitative financial practices. This information will be made available to diverse stakeholders to enhance evidence-based decision-making.

 Natural gas projects and local community development in Tanzania [2015-013] – This project seeks to amplify the voices of vulnerable populations affected by natural gas development in the Mtwara region of Tanzania so that they can be taken into consideration at national-level decision-making. The study’s findings stress the importance of government actors to urgently address the concerns of affected-communities on issues such as displacement, dispossession, compensation and employment, the loss of land and livelihoods. It is anticipated that improving governance, with a focus on communities directly affected by the gas development projects, results in tangible benefits to the affected population in terms of poverty reduction and improvement in livelihoods.  Transforming ASM in Colombia [2015-024B] – Overall, the project design aims to improve natural resource governance in the ASM sector in Colombia through cooperation between the government, FARC and other stakeholders. This project will address issues around improving women’s participation in the governance of gold panning associations as well as in community governance structures. Increased participation of women in governance structures, particularly in leadership roles, is expected to enhance the efficacy of efforts to formalize the sector in the pilot project location.

6 FINANCIAL REPORT – SUMMARY

In the FY2016-17 Plan CIRDI projected $7,789,706 in spending. The actual spend was $4,807,059 or approximately two thirds of the predicted total. Much of this “underspending” was due to delays in planned activities as CIRDI awaited GAC’s decision regarding the budget reduction and the one year extension. As CIRDI already knew of the possible reduction in FY16-17 Q2, projects and core operations began to slow and adjust in anticipation of possible funding cuts and timing shifts. Additional underspending was due to delays or adjustments in planned activities, generally in response to unanticipated external factors. A few examples include:

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 35  Reduction in travel and consulting budget for core and program support activities in response to 10% budget reduction  Delays in activities for redesigned ASM projects due to both internal and external factors  Delay in finalizing Scholarship & Fellowships and Learning program budget and activities, related to hiring of new Director, Partnerships & Learning at the end of Q1.  Delay in accepting new fellows until reduction of budget was approved  Delays in implementation, with some activities cancelled (i.e. training in the field) for the EPM West Africa Project  Changes in timing for certain program activities related to the Inclusive Growth Project (Co-Lab Peru)  A major piece of the IMAGinE Mongolia project was cut due to unsuccessful contract negotiations with project partner (GIZ) Additional detail and variance analysis can be found in Appendix A.

7 LESSONS LEARNED AND NEXT STEPS

CIRDI Advisory Council provides invaluable recommendations for enhancing CIRDI’s future growth strategy, allowing for more informed decision-making on CIRDI’s future growth: Advice offered by the Advisory Council on November 17 provided CIRDI with invaluable context for strategic decisions regarding CIRDI’s future growth. In addition to problematizing CIRDI’s planned approach, the Council informed CIRDI of the critical points of focus it should be considering, how to position the organization in the shifting international development landscape, and the key partners it should seek to engage. Insights from the Council have been captured in a report, which is available on the CIRDI website: http://cirdi.ca/wp-content/uploads/2014/01/CIRDI_AC_Report_2016-11-17_web.pdf

Disseminating the results of CIRDI’s work with a variety of stakeholders through multiple channels is key to increasing the impact of our work and enhancing CIRDI’s sustainability: This fiscal year, CIRDI projects have pursued a variety of platforms for sharing project results and research findings with government, industry and civil society stakeholders. Over the year CIRDI’s work was showcased at various industry and academic conferences, workshops and events, including the Intergovernmental Forum for Mining, Minerals, Metals and Sustainable Development in Geneva, Switzerland; 28th World Mining Congress in Rio de Janiero, Brazil; Risk and Resilience Solutions Conference in Vancouver, Canada; the American Anthropological Association, 115th Annual Meeting in Minneapolis, USA; the International Conference on Community Mining in Indonesia: Minimizing Harm, Maximizing benefits in Jakarta, Indonesia; the Prospectors and Developers Convention (PDAC) in Toronto; and the Investing in Mining Indaba Conference in Cape Town, South Africa, among others. In sharing our work with these diverse audiences, CIRDI has received valuable feedback and enhanced our profile internationally.

CIRDI’s research findings are also being actively incorporated into our learning products. Curricula and training have been developed on mine closure, integrated water resources management, and mercury reduction in ASM, with other courses under development on gender

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 36 and ASM, and mine waste management and environmental management. Completed courses have been delivered to diverse audiences. Given CIRDI’s mandate and unique relationship with developing country governments, particular focus has been given to strengthening the capacity of government staff, including mining regulators, to implement gender-sensitive extractive policies and regulatory frameworks, integrated resource management frameworks and policies that affect employment and local content that integrate environmental sustainability.

Currently CIRDI’s work is profiled on our website and newsletter, with completed project reports available for downloading. Other online platforms are also being employed, such as Co-Lab Peru’s website (colabperu.org) and associated social media platforms (Facebook, Twitter, YouTube).

CIRDI’s multi-pronged approach to dissemination – including outreach events, workshops, training, conferences and publications – will allow diverse actors to access and engage with our work and research findings, ensuring maximum impact. New ways of disseminating our ways need to be continuously explored.

Operating in changing and unstable contexts is challenging and requires constant adaptive management, flexibility and strong partnerships: One of the major challenges effecting many of CIRDI’s projects is that changes in government or the political or security situation in the countries we are operating in may affect the mining industry and CIRDI projects, requiring flexibility and adaptive management. Two examples stem from national elections held hit year. The June 2016 elections in Mongolia resulted in a transition in government. The short and long- term impacts of this election needed to be taken into account in all planning. All national government and state-owned enterprise staff were affected by changes following the majority victory of the Mongolian People’s Party (MPP). This impacted CIRDI’s communication and the availability of parliament members and government officials for the workshop which was hosted in the Kyrgyz Republic in November 2016. Despite this political uncertainty and the budget cuts that followed the election, CIRDI maintained the ICF’s commitment to the workshop series because of early planning. Similarly, although the new Peruvian president took office in August 2016, with the new ministerial cabinet appointed in August/September, it took several months and extra engagement efforts on behalf of CIRDI to ensure continuous active partner engagement. In this case, developing and implementing activities that do not exclusively depend on the government was a key element to not stalling the project during the government’s transition.

While there is increased awareness globally that advancing gender quality within the extractive sector has positive net benefits, there remain many barriers to implementation: Around the world, women disproportionately carry the burden of resource extraction through unintended inequality and marginalization. While men receive most of the benefits associated with resource extraction through increased employment and financial gains, women carry most of the burden. To address this, CIRDI has identified women as a strategic point of intervention. In particular CIRDI’s projects, through their training and research components, are working to enhance women’s capacity for decision-making. By empowering them with specially-tailored knowledge, tools, access to resources and thus confidence, CIRDI increases their ability to define

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 37 and articulate their own needs within their communities and to their governments. CIRDI’s work will ultimately increase the profile of the diverse roles of women within the extractive sector, identify challenges and opportunities for women within this field, and increase women’s access to information, data and educational opportunities. This will advance women’s equal participation as informed decision-makers in shaping sustainable development in their communities.

Strong communication with Canadian embassies in the countries CIRDI is operating in is key to project success, sustainability and risk management: The Canadian embassies in CIRDI’s countries of operation are a great resource for all project teams. Maintaining good communication with them is crucial to ensuring project success as they can provide a better understanding of the national context in which the projects are operating and of Canadian priorities in those countries and regions, and they can provide oversight of potential partners and opportunities and other valuable insights that can support project implementation. In the case of CIRDI’s work in Colombia, the Canadian Embassy staff provides the project team with up- to-date intelligence and advice on how to proceed. In general, the Colombian ASGM sector is extremely complex and requires careful coordination to ensure projects risks are identified and managed, and that mitigation efforts are carried out. Security and intelligence gathering are and will be essential throughout the project life-cycle. Furthermore, the interest and support of the Canadian Embassy in Peru in CIRDI’s Education and research for integrated water resource management (IWRM) [2014-071] project has translated into increased visibility among stakeholders, the increased sustainability of the project, and access to future opportunities. One way the embassy supported CIRDI’s work in Peru, for example, was the attendance of the Canadian Ambassador to Peru at the Women, Water and Mining Conference in February 2017. This kind of active support of the Canadian embassies is integral to the profile and sustainability of all of CIRDI’s work.

There is real interest and need for innovative, customized educational material, including technical training and workshops, which addresses issues related to the extractive sector and sustainable development. CIRDI staff and project teams are encouraged by the high-degree of interest from our government, civil society and academic partners for new curricula and pedagogical tools to advance the sustainable development of the extractive sector in their countries. This year CIRDI’s Learning Team conducted an assessment of the training needs of targeted developing-country governments (through reviews of existing surveys, discussions with diverse stakeholders and CIRDI’s alumnus network, etc.). This assessment identified the priority areas of environment (environmental assessment, water, tailings, reclamation and closure), community engagement, and mineral economics (feasibility studies, agreements, taxation and royalties, audits, agreements). This need has also been reinforced by CIRDI’s other partners and beneficiaries. The success of the mine closure training recently carried out in Ghana and Tanzania, for example, has already resulted in requests for follow-up training next year. Similarly, CIRDI’s Integrated Water Resources Management course, which is now an approved component of the Water and Mining Diploma at the Pontifica Universidad Católica del Perú, has secured the commitment of Peruvian faculty to continue these courses beyond CIRDI’s initial engagement.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 38 Enacting budget reductions for international development projects requires time and clear communication with project partners, particularly local in-country partners. Following the 10% budget reduction, projects were required to adjust their budgets and project activities accordingly. The timeline available to enact these changes within CIRDI, particularly for CIRDI’s projects, was too short to allow enough time to negotiate the changes and project re-design with in-country project partners. The budget reductions also required clear communication with local partners regarding why the reduction was happening, risks associated with the reduction, and how to best adapt project activities and outcomes accordingly. This clear communication was particularly important considering cultural and linguistic differences, the timeline under which these changes were requested, and varied understandings of the nature of CIRDI fund allocations.

The reduction of the GAC funding contribution to CIRDI has had consequences for every aspect of the institute’s operations. The main issue leading to this reduction had to do with the in-kind commitments made to CIRDI at its inception by the coalition institutions, not least of these being several sizable commitments from a broad network of strategic partners. The support pledged by these partners was defined before the institute had outlined a work program based upon the needs of developing countries. This resulted in a fundamental mismatch between the expertise of the strategic partners, and the needs being communicated to CIRDI by developing country representatives. Despite this mismatch, CIRDI has sought to build projects with its partners wherever their expertise is a match for the required activity. It has also established many more new partnerships, usually formed around a specific project or activity. As time passed, it became increasingly clear that CIRDI would not be in a position to benefit from all of the support originally pledged before the conclusion of its Contribution Agreement with GAC. The lesson acutely felt as a result of the 10% reduction is that partnerships, at least in their beginning formation, should always be tied to concrete, clearly defined collaborative activities and deliverables, and that such partnerships cannot precede a proper needs assessment.

APPENDICES

A. Financial reporting – detail B. Institutional assessment overview C. CIRDI active project list D. Project quarterly progress reports E. Program development tracker F. Meeting and consultation tracker

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 39 A) Financial reporting – detail i. FY 2015_16 Form A signed final

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 40

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 41

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 42 ii. FY 2015_16 Form B signed final

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 43

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 44

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 45 iii. FY 2015_16 Form D final

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 46

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 47 iv. FY 2015_16 Annual Financial Report (Form E)

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 48

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 49

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 50 v. Variance analysis: FY16-17 work plan budget vs actuals

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 51 B) Institutional assessment overview

Assessment Observation Status # Detail Governance Objectives COMPLETED There is no centralized repository of CIRDI 1 Governance Manual approved by Board on November governance documents. 18, 2016. COMPLETED No ToRs for CIRDI Board Chair, Exec. 2 ToRs part of Governance Manual approved by Board on Committee, Governance Subcommittee November 18, 2016. COMPLETED 3 Committees need meeting materials earlier. Committee ToRs revised to address this. FAC has not undertaken self-assessment, nor COMPLETED 4 made recommendations to Governance FAC self-assessment completed November 2016. Committee Discrepancy between CIRDI employee roles COMPLETED 5 and their actual work Addressed in recent HR plan COMPLETED Lack of formal mechanism for tracking 6 A system for monitoring action items is in place for all committee action items committees. IN PROCESS Lack of finance, legal, environment, and Board seeking members with gender and legal expertise. 7 gender expertise on Board Environment and finance covered. Board recruitment underway. New members to be in place for June 2017. COMPLETED Coalition involvement in CIRDI’s governance, and Lack of clarity around coalition roles, and 8 coalition communication with CIRDI Central has been suspended Mgmt. cmte strengthened through the creation of the Academic Directorate and the Program Committee. Lack of governance structure with regard to COMPLETED 9 strategic partners Director of Partnerships and Learning in place June 2016. Lack of centralized CIRDI position for COMPLETED 10 coordinating and monitoring strategic partner Director of Partnerships and Learning in place June 2016. communications and activities COMPLETED Lack of clearly documented and approved 11 Procedures codified in the Program Performance and procedures related to reporting and projects Financial Management Handbook UPCOMING No indication that the FAC or other governing The Executive Committee and FAC to review Risk 12 bodies had discussed institution-level risk Register, and identify risk items for a report to the CIRDI Board, meeting June 2017. COMPLETED Unknown insurance coverage for Institute’s 13 Will investigate the extent of insurance for CIRDI assets, assets and for governing bodies. Will assess policies for gaps. IN PROCESS CIRDI unable to attract talent for new positions 14 We are examining the possibility of establishing CIRDI as due to UBC HR restrictions its own legal entity by the end of 2017.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 52 COMPLETED Lack of long-term strategic plan or long-term 15 Strategic Plan completed June 2016. Future Growth Plan financial plan for CIRDI completed October 2016. Mechanisms and Management Controls COMPLETED 16 Lack of centralized financial operating manual Financial operating manual in place. Lack of policy or process to ensure that 17 interest generated on invested advances will COMPLETED be used exclusively for the Project Lack of criteria to evaluate the validity of sole COMPLETED 18 source contract awards in draft CIRDI The coalition institutions currently follow their purchasing handbook respective university policy on sole source contracts. COMPLETED Lack of process related to managing and All in-country expenditures run through CIRDI financial 19 monitoring in-country project expenses systems, and program managers now have access to UBC’s financial management system. UPCOMING 20 Lack of project management software Software in development. To be completed May 2017. Lack of program manager access to financial COMPLETED 21 information This access is now in place Lack of requirement for or evidence of project- COMPLETED 22 level variance analysis related to projects Variance analysis is done quarterly. Reporting Lack of a maintained list of required COMPLETED institutional reports that detail responsible 23 A reporting grid is in place, and due dates have been preparer, approving authority, and related calendared. deadlines COMPLETED Lack of finalized and actively used Performance 24 Final version of CIRDI PMF sent to Global Affairs early Measurement Framework March 2017. Lack of finalized implementation of the APMS COMPLETED 25 to actively monitor project-level activities This system has been in place since October 2015 against PMF Sustainability of the Institute COMPLETED Lack of a long-term planning process or Strategic Plan completed June 2016. Future Growth Plan 26 detailed annual action plan related to CIRDI completed October 2016. CIRDI has a position dedicated becoming a self-sustainable entity to program development, and diversifying CIRDI sources of funding. Lack of sustainability plan, potential sources of COMPLETED revenue, including in-kind, have not been Future Growth Plan completed October 2016. CIRDI has 27 analyzed, documented, nor put in context of a position dedicated to program development, and larger plan. diversifying CIRDI sources of funding. COMPLETED Lack of sufficiently detailed and supported Future Growth Plan completed October 2016, and 28 analysis of the long-term future costs that contains analysis of long-term future costs that cover could be integrated into a sustainability plan. all CIRDI operations.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 53 C) CIRDI active project list

CIRDI ACTIVE PROJECT LIST Last revised May 15th, 2017 Proje Country Project Name Description Duration Status Approved Other Comments ct # Budget - Funding 2013 (does not contribution include agreement - inkind) (CAD) The strategic objective of the Program is to support efforts for a transparent, integrated and environmentally, socially and socially responsible extractive sector that provides sustainable benefits West to the community, country and region. The WAEMU and African Governance contributes to the reduction of poverty. The specific objective is Monetary Septemb strengthening to strengthen the capacity of UEMOA and its Member States for 2014- Union er 2014 Operati program of the improved governance of the extractive sector in order to 3,570,000 009 (Regional), - April onal extractive sector maximize its contribution to sustainable development and Senegal, 2018 in West Africa poverty reduction. The ultimate outcome of the Program is that Burkina identified by the CIRDI, ie the capacities of sub-regional and Faso national institutions to optimize the benefits of the extractive sector in order to stimulate sustainable economic growth and reduce poverty are strengthened. Co-Laboratorio Co-Lab Peru support inclusive sustainable development from Peru: natural resources through advancing cross-sector and inter- Strengthening agency learning, planning, governance and practices. The project collaborative accomplishes this by working collaboratively with stakeholders, practice and and embedding our activities in local universities. The project has Septemb 2014- enhancing the three themes: inclusive collaborative governance; inclusive er 2014 Operati Peru 1,370,839 017 role of economy; inclusive universities. - March onal universities as 2018 development partners - for inclusive growth in Peru

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 54 This project will develop a multi- stakeholder understanding of “conflict,” examine how that understanding has evolved over the Report past decade, and how conflict in its various forms can best be published on Internation managed and/or mitigated. These forms include conflict resulting CIRDI website: al The Rise in from mistrust in government, from the absence of a well- The Rise in (Bolivia, Conflict between July 2015 2014- designed mineral development strategy or its poor Comple Conflict Peru, Mining - August 256,954 070 implementation, and from general lack of communication ted Associated Madagasca Companies and 2016 between community, government, and company, among other with Mining r, Communities forms. Improving our understanding of conflict in an increasingly Operations: Tanzania) complex and interconnected world can provide a basis for What Lies effective prevention, management and resolution, which in turn Beneath? helps to enable effective resource governance. The overall objective of this project is to contribute to the cohesive and integrated management of Peru’s water and mining resources. Specifically, this project will raise the level of education in Peru about integrated water resource management Education and (IWRM), and will build capacity within Peruvian universities, Research for government bodies and community organizations to gather and July 2015 2014- Integrated Water Operati Peru manage related data. Education and research programs will - March 640,000 071 Resource onal target national, municipal and community actors with a focus on 2018 Management areas of mining activity including all water-users. There are four (IWRM) key components: certificate in integrated water resources management; national workshop on environmental participatory monitoring committees; Gender, Water and Mining event; Cerro Verde case study for scalability. Supporting This project will assist the Indonesian government to optimize Capacity-Building the implementation of its ASM-relevant mercury policies in order and Multi-Level to address poverty reduction and environmental protection Governance of objectives. The initiative will strengthen knowledge and build Small-Scale Gold institutional capacity at district, provincial and national levels. March Mining: A Aspects of this project have developed through a series of 2014- 2016 - Operati Indonesia Collaborative collaborations, beginning in 2005, among international experts 177,060 077 March onal Project on within the project team, a local development foundation in 2018 Mercury, Central Kalimantan (Yayasan Tambuhak Sinta - YTS) and the Deforestation national, provincial and district governments. The project team and Rural gained experience in the region during the UNIDO/UNDP/GEF Livelihoods in Global Mercury Project. A scoping mission was conducted in Indonesia November 2014 to inform the design of this project. The

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 55 Indonesian government has made requests to support the project. This five-year project will support the Ethiopian Ministry of Mines by enhancing Ethiopian federal and regional capacity to issue and manage mineral licenses in a transparent manner; by supporting the federal and regional mining authorities to monitor the Ethiopia - financial, environmental and corporate social responsibility 2014- Supporting the 2016 - Operati Ethiopia aspects of mineral licenses; by strengthening the Geological 15,000,000 078 Ministry of Mines 2020 onal Survey of Ethiopia’s (GSE) capacity to generate, manage and use (SUMM) geosciences data; and by improving organizational structure and human resource management practices in the ministry and GSE to promote retention and gender sensitive professional development. The Relationship This project is inspired by the growing debate about the role that Between Local host country governments can play in helping to ensure that Procurement benefits from mining activities are more equitably shared Regulatory between mining companies and host countries. Research will Environments reveal how comprehensive local procurement regulatory August Namibia & and Local frameworks affect more local purchases by mining companies. It 2014- 2015 - Operati South Procurement will also identify the common factors that influence mining 188,307 079 Decemb onal Africa Strategies of companies as they create local procurement strategies. The er 2016 Mining project will examine the local procurement regulatory framework Companies: A of a Sub-Saharan African country and the extent to which the Comparison of local procurement strategies of the mining companies operating Two Sub-Saharan within that African Countries country align with this framework. Focusing on Ghana, the location of West Africa’s largest and most dynamic ASM sector, and wherethe investigators have well- Blazing the Path established networks, this research will generate critical baseline to Formalization: data on the financial landscapes in ASM communities. It will March artisanal mining, 2015- inform policy mechanisms that aim to support a formalized ASM 2016 - Operati Ghana wealth creation, 199,856 010 sector in sub-Saharan Africa. For a formalized system to make a March onal and rural meaningful difference in the lives of impoverished miners and 2018 livelihoods in their households, a richer and more nuanced understanding of Ghana the socially-embedded nature of ‘informal’ economic systems is first required. 2015- Natural Gas This study, and the broader project fits with the core mandate of June Operati Final reporting Tanzania 49,905 013 Projects and stimulating sustainable economic growth and reducing poverty 2015 - onal in progress

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 56 Local Community through improving East African countries and in particular Decemb Development in Tanzania’s ability to use, and benefit from their emerging natural er 2016 East Africa gas sector. The Institute can help mobilize expertise in the field of Anthropology and community- level development to better understand the perspective of the various stakeholders as it relates to poverty reduction in communities along production and transportation sides, and to maximize benefits for local communities while reducing the risks of detrimental conflicts between communities, companies, and local authorities. For resource‐ rich developing countries, effective natural resource governan ce is crucial for economic development and poverty alleviation. Peer‐to‐peer learning convened by organizations such as CIRDI and the ICF plays an important role in knowledge mobilization and in the sharing of real experience by creating learning opportunities between countries at similar stages of resource development. The knowledge transfer among peers equips them to determine their own path IMAGinE to the effective governance and development of natural reso Mongolia urces, and to build lasting national and international October (Integrated 2015- networks for the continued transfer of ideas. 2015 - Operati Mongolia Management and $660,000 022 CIRDI in particular, given its academic affiliations, is in a uni March onal Governance in que position to offer neutral forums for learning and the 2018 Extractives exchange of ideas. The emphasis on international peer‐to‐ Mongolia) peer learning helps in detaching and overcoming partisanship, enabling richer discus sion on otherwise politicized topics. Participants seek to teach and share, rather than defend. This workshop series mobilizes domestic and international knowledge, creates new connections between stakeholders, and encourages transparency in discussions on resource governance. Workshop evaluations indicate that Mongolian participants want increased dialogue with other countries facing similar concerns in order to enhance domestic discussions and create regional networks. Transformation A well‐regulated ASGM sector can play an important role in 2015- August Operati Colombia of Artisanal and Colombia’s transition to peace. The department of Choco is one $230,000 24A 2016 - onal Small-Scale of the most important small‐scale mining regions in the country,

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 57 Miners in with large parts of the population dependent on revenues March Ecuador and generated by mining. This post‐ 2018 Colombia conflict project will work with national government institutio ns, local authorities, and FARC leadership to address issues impeding the formalization and long‐term viability of the sector. The government, FARC and target communities have all indicated their interest in participating in this pilot project, which will produ ce a road‐map to formalization replicable in similar communities of the region. In addition, the United Nations Industrial Development Organization has submitted a proposal to work in t he same region on a project aimed at finding alternatives to ASM, and have indicated their desire to streamline project activities with CIRDI. In particular, they have identified the value of CIRDI’s sectoral and technical expertise as being of value to their project. Ultimately, project activities will support the long‐ term sustainability of the ASM and its eventual formalization. TransMAPE focuses on education of miners and government as a key entry point to enable improved organization and support the political process of formalization. Through consultative dialogue, data collection, and pilot training modules, the project will work collaboratively with Ecuadorian counterparts to develop a loc ally appropriate ASM training program, and an inter‐ Educación para la ministerial action plan to scale up pilot training activities. transformacion The project August del MAPE en el 2015- includes four components of (1) applied research; (2) multi‐ 2016 - Operati Ecuador Ecuador $700,000 24B stakeholder consultation; (3) pilot training; and (4) design March onal (Education for the and implementation of a sustainable training program, aimed 2018 transformation of toward improving the capacity of miners to use environmentally ASM in Ecuador) sound, safe, and economically efficient practices in Ecuador’s ASGM sector (Ultimate Outcome 1000). The project is expected to reach >40 government officials acro ss 3 ministries for capacity building; 200 miners through pilot training modules; and, past the life of the project, over 4,000 miners through the implementation of the long‐term training program. At the regional level, 12 national geoscience

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 58 institutions will be sensitized to governance issues with ASGM in Southern Ecuador. The goal of this project is to monitor the impact of capital- intensive large-scale resource extraction Measuring the that typically involves significant foreign direct investment (FDI).3 development Mozambiq Towards this end, the project develops a framework for the Septemb outcomes of 2016- ue and collection of field-based impact data of over time. The results will er 2016 - Operati 550,000 resource $0 002 Burkina be presented in the easily accessible format of a ‘Resource August onal CHF extraction in Faso Impact Dashboard’ (RID). The concept of ‘dashboards’ is known 2019 producer from Controlling where it denotes a means to visualize key countries management information in a condensed, often graphical format. 2015- LEARNING CIRDI LEARNING PROGRAM - List of Sub-Projects The Scholars and Fellows program will target a cross-section of client country stakeholders and be designed in a way that ensures that the program directly benefit in- country long term capacity-building. It focuses on developing country government EPM's personnel, academics and graduate students to study and Scholars & undertake learning activities in Canada. Fellows The aim is to engage ‘fellows’ (broadly defined as all program March budget is 2013- Internation Scholars and participants) across a wide range of Institute activities – needs 2015 - Operati captured 700,000 003 al Fellows Program analysis, applied research, education delivery, advice and April onal within Project communications – while at the same time target a cross-section 2018 2014-009. of beneficiaries from government, communities and university This budget partners. Recipients of fellowships or scholarships are key covers UBC & connectors, boundary-spanners and change agents that will SFU only. enable ongoing and self-sustained transformation and knowledge transfer far beyond the duration of any particular project, course or provision of targeted technical assistance. CIRDI Learning projects, such as Summer Institute, ILEAP, and others to be determined, are currently under review in efforts to create a comprehensive and coordinated Learning Program for Future plans CIRDI October CIRDI. Late Q3 CIRDI partnered with the Peter Wall Institute of In for CIRDI - Internation CIRDI Learning 2015 - Advanced Studies (PWIAS) to deliver the successful Miners, develo 900,000 Learning Learn al Program March Minerals and Minamata: Interdisciplinary Perspectives on pment currently in ing 2018 Artisanal Gold Mining and Sustainable Development Roundtable development. and reported will be completed in Q4. New Director of Partnerships and Learning to be recruited in Q1 2017 and to

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 59 determine future learning strategies for CIRDI. CIRDI is applying for funding to hold a second Peter Wall international research roundtable, focusing on the theme Extracting Equality: Women and Children’s Rights in Mining. This funding proposal will be submitted in Q1 of 2017.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 60 D) Annual Progress Reports for Projects under the Contribution Agreement

Project Project Name Country(s) Number 2014-009 Governance strengthening program of the extractive sector in West UEMOA, Burkina Faso, Africa Senegal 2014-017 Strengthening collaborative practice and enhancing the role of Peru universities as development partners for inclusive growth in Peru (Peru Collaboratory) 2014-070 The rise in conflict between mining companies and communities: Global what lies beneath 2014-071 Education and research for integrated water resource (IWRM) Peru management in Peru 2014-077 Supporting capacity-building and multi-level governance of small-scale Indonesia gold mining: a collaborative project on mercury, deforestation and rural livelihoods in Indonesia 2014-079 The relationship between local procurement regulatory environments South Africa, Namibia and local procurement strategies of mining companies: A comparison of two sub-Saharan countries 2015-010 Blazing the path to formalization: artisanal mining, wealth creation, Ghana and rural livelihoods in Ghana 2015-013 Natural gas projects and local community development in East Africa Tanzania 2015-022 IMAGinE Mongolia (integrated management and governance in Mongolia extractives Mongolia) 2015-024B Education for the transformation of artisanal and small-scale mining Ecuador (ASM) 2015-024A Transformation of artisanal and small-scale mining (ASM) in Colombia Colombia Other CIRDI Programs 2015- CIRDI learning programs Global Learning 2013-003 CIRDI scholars & fellows program Global

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 61 Governance strengthening program of the extractive sector in West Africa [2014-009]

REPORTING PERIOD: avril 2016 à mars 2017 Project status: En cours Start date: Septembre 2014 End date: Juillet 2018, possible prolongation mars 2019 Country(s): Burkina Faso, Mali et Sénégal (Arrêt des activités en décembre 2015 pour raison de sécurité) Total budget: $3,213,000 Actual spending to date: $2,507,932 Actual spending during reporting period: $929,861 Client/Beneficiary: Union Économique Monétaire Ouest Africaine (UÉMOA), Ministère de l’Industrie et des Mines du Sénégal, Université Cheikh Anta Diop, Dakar et Université Ouaga I Pr Joseph Ki-Zerbo, Ouagadougou Role of local government or regional institution in the project: Assure le leadership du Programme. Theme & CIRDI outcome(s): - Gouvernance 75% - Gestion des ressources intégrées 25% Core activities:

113.11 & 120.2 La Stratégie Vision stratégique L’approbation de la Stratégie par les États Membres. Réalisée mine et développement est validée par les États Cependant avec la venue d’un nouveau président à la En cours membres (selon ML révisé) Commission, l’adoption de la stratégie par le Collège des Commissaires a été reportée jusqu’à la nomination des nouveaux Commissaires prévue pour mai 2017.

210.1 Un plan sectoriel interministériel (LPSD) Un Plan de mise en œuvre (PMO) de la LPSD inclusif en cours qui Réalisé intégrant les enjeux liés aux mines et au intègre les différents ministères concernés par la mise en valeur développement est rédigé du secteur minier.

314. Étude du secteur minier dans la région de La mise à jour de l’étude du secteur minier a été effectué au Q4 Réalisé Kédougou.

410.3 Le matériel pédagogique est préparé et Sénégal et Burkina Faso. La préparation du matériel pédagogique En cours les professeurs sélectionnés sont formés pour les nouvelles unités d’enseignement a démarré. Il sera transmis aux professeurs sélectionnés au Q1 2017/18

414.1 Préparation et transmission du matériel Sénégal et Burkina Faso. La préparation de ce matériel a démarré En cours et pédagogique aux professeurs sélectionnés et le format de transmission discuté. Il sera disponible au cours Q1 2017/18 de Janvier 2017 pour les enseignants sélectionnés pour la formation en mai 2017

415.1 Intégration du nouveau programme dans Sénégal et Burkina Faso. Le processus a démarré en Q2 et se En cours. programmes existants continue au cours de Q3 et Q4. Les étapes d’approbation du programme et leur calendrier ont été discutées en novembre/décembre 2016 et se sont poursuivis au Q4

421.2 Collecte d’information et développement Sénégal et Burkina Faso. Ébauche de stratégie préparée ce En cours d’une stratégie trimestre et discutée avec les partenaires universitaires en novembre/ décembre 2016 et se poursuivra au début 2017/18

421.3 Élaboration et validation de la stratégie Sénégal et Burkina Faso. Stratégie discutée avec partenaires En cours avec intervenants universitaires au Q3 et sera discutée avec partenaires industriels au Q4 et début 2017/18

422.1 Identification du mécanisme le plus Sénégal et Burkina Faso. Suite à la discussion de l’ébauche de En cours et approprié stratégie avec les partenaires universitaires (Q3) et industriels début (Q4), le mécanisme le plus approprié, selon le contexte de chaque 2017/18 pays, sera identifié

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 62 423.1 Développement d’un programme de Sénégal et Burkina Faso. Suite à la validation de la stratégie par les Se continue stages partenaires universitaires (Q3) et industriels (Q4), le et se développement d’un programme préliminaire de stages poursuivra en démarrera selon le calendrier des cours et l’approche dans 2017/18 chaque pays.

431.2 Collecte des informations pour Sénégal et Burkina Faso. Ébauche de stratégie discutée en Se continue développer la stratégie novembre/décembre 2016 avec partenaires universitaires. Sera en 2017/18 discutée avec partenaires industriels et autres parties prenantes début 2017/18

431.3 Élaboration et validation de la stratégie Sénégal et Burkina Faso. Même que ci-dessus. Validation sera au Se continue au cours de 2017/18 en 2017/18

441.2 Collecte des informations avec les parties Sénégal et Burkina Faso. Ébauche de stratégie discutée en Se continue prenantes novembre/décembre avec partenaires universitaires. Sera en 2017/18 discutée avec partenaires industriels au début 2017/18

441.3 Élaboration et validation de la stratégie. Sénégal et Burkina Faso. Même que ci-dessus. Validation au Q4. Se continue en 2017/18

442.1 Identification préliminaire des besoins des Sénégal et Burkina Faso. Suite à la discussion sur l’ébauche de la Se continue différents partenaires stratégie (Q3 et Q4) avec les partenaires universitaires, industriels en 2017/18 et parties prenantes, une identification préliminaire des besoins aura lieu.

Summary of immediate and intermediate outcomes for the reporting period - Composante 100 : Résultat intermédiaire, les capacités régionales de l’UÉMOA dans la mise en valeur d’un secteur minier intégré sont renforcées. Ce résultat sera atteint au cours de l’année 2017/18 avec l’approbation de la Stratégie par le Collège des Commissaires ainsi que l’approbation auprès des experts sectoriels des États membres, des Ministres sectoriels (mines) et au final par le Conseil des Ministres statutaires (finances). Ce retard s’explique par la période de transition de la Présidence de la Commission. Résultats immédiats, les capacités de l’UÉMOA à mettre de l’avant une approche intégrée sont renforcées. L’ensemble des représentants des départements de la Commission de l’UÉMOA et les hautes instances des États membres ont compris, endossé et approuvé la Stratégie pour le développement durable d’un secteur extractif intégré au sein de l’UÉMOA. Les outils pour l’opérationnalisation de la Stratégie sont en place. L’approbation de la Stratégie par le Collège des Commissaires sera la dernière activité du programme de l’ICIRD. - Composante 200 : Résultat intermédiaire, une gestion intégrée et responsable du secteur minier par le gouvernement du Sénégal est mis en place. Ce résultat a été atteint dans la mesure où la Lettre de Politique Sectorielle de Développement du secteur des Mines a été approuvée par le Ministre et le Premier Ministre du Sénégal. Résultats immédiats, La politique sectorielle est disponible pour le Sénégal, la concertation interministérielle a eu lieu et son opérationnalisation est en cours. Un atelier sur la Gestion Axée sur les Résultats (GAR) et la Responsabilité sociale des entreprises (RSE) aura lieu au cours du premier trimestre 2017/18 à la demande du Ministère de l’Industrie et Mines du Sénégal et sera l’occasion de terminer l’appui de l’ICIRD.

- Composante 300 Résultat intermédiaire, une participation des acteurs locaux à la concertation concernant le développement intégré du secteur minier est accrue. La requête du Ministère de l’Industrie et des Mines du Sénégal auprès de l’ICIRD pour un appui au niveau national n’a pas permis de se concentrer sur cette composante. L’instabilité politique et sociale au Mali et Burkina Faso jusqu’à l’élection démocratique de novembre 2015 et l’attaque terroriste de janvier 2016 n’ont pas permis au programme de se déployer comme prévue dans la planification initiale. Résultat immédiat, un rapport d’étude du milieu de la région de Kédougou, Sénégal relié au secteur minier.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 63 - Composante 400 Résultat intermédiaire, les capacités des universités (Burkina Faso et Sénégal) à élaborer et mettre en place des programmes de formation et de recherche pour offrir des professionnels spécialisés dans le domaine de l’environnement minier sont renforcées. Ces activités sont en cours et le programme de Master en Environnement et gestion des rejets miniers démarrera à l’automne 2017 dans les deux universités ciblées. Résultats immédiats, les nouveaux curricula sont en cours et doivent être finalisés au premier trimestre 2017/18. Des ébauches de programme de stages industriels, des projets de recherche appliquée et de mise en place de formation continue ont été proposées partagées et démarreront en 2017/18.

Progress on integration of cross-cutting themes : a) Genre – Il a été possible d’intégrer le thème genre à tous les niveaux des interventions du programme autant avec la stratégie de l’UÉMOA que dans la Lettre de Politique Sectorielle de Développement du secteur Mines au Sénégal que dans les critères d’admission des étudiants du nouveau Master dans les deux universités. b) Environnement – La stratégie UÉMOA s’intéresse à la préservation de l’environnement, énergie, aménagement du territoire. - Principe directeur de la LPSD : la préservation de l’environnement et de la biodiversité. Ce thème à l’UCAD au Sénégal pour le nouveau programme de Maîtrise couvrira les aspects suivants : Initiation à l’approche interdisciplinaire autour de la gestion durable des rejets miniers, Management de l’Environnement, Méthodes et techniques des sciences de l’environnement appliquées aux rejets miniers. Et au Burkina Faso : Génie de l’Environnement, Science de l’Environnement, Environnement et gestion des rejets miniers. c) Gouvernance – On peut signaler une avancée significative qui a été réalisé au cours de 2016/17 au niveau de la gouvernance en considérant la Stratégie de l’UÉMOA et la Lettre de Politique sectorielle de développement comme des outils de renforcement de la gouvernance du secteur extractif. À un autre niveau et tout aussi important, une meilleure gestion de l’Environnement et la gestion des rejets miniers avec le nouveau programme de Master. Ce dernier contribuera à renforcer les capacités de spécialistes qui s’intéressent au secteur minier. Lessons Learned: Les Ambassades du Canada au Sénégal et au Burkina Faso portent une attention particulière aux résultats (Stratégie de l’UÉMOA et LPSD) ainsi que les étapes en cours pour le Programme de Maîtrise en Environnement et gestion des rejets miniers avec les deux universités (Burkina Faso et Sénégal). Il sera important pour la prochaine année de maintenir et développer davantage des liens privilégiés avec les parties prenantes au niveau régional, national, académique, entreprises minières et ambassades afin de maximiser l’impact des initiatives en cours.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 64 Strengthening collaborative practice and enhancing the role of universities as development partners for inclusive growth in Peru (Co-Laboratorio Perú) REPORTING PERIOD: April 1, 2016 to March 31, 2017 Project status: Approved – operational Start date: Sept 2014 End date: March 2018 Country(s): Peru Total budget: $1,233,756 (includes 10% reduction) Actual spending to date: $627,823 Actual spending during reporting period: $396,453 Client/Beneficiary:  Direct: National Service of Environmental Certification for Sustainable Investments (SENACE); Ministry of Women and Vulnerable Populations (MIMP); stakeholders and citizens in target influence corridor of Apurimac, Cusco and Arequipa (government officials, community leaders, youth, students, faculty members, entrepreneurs, women and indigenous groups).  Indirect: citizens in targeted extractive regions and mining affected communities (Arequipa) Role of local government or regional institution in the project: Collaborator Theme & CIRDI outcome(s):  1100 - Fiscal and Regulatory Governance (50%)  1300 – Livelihoods and Employment (50%) Core Activities:  Applied Research (25%),  Education and Training (35% and  Convening (40%)

Summary of immediate and intermediate outcomes for the reporting period:

Co-Lab Peru supports inclusive sustainable development from natural resources through advancing cross-sector and inter-agency learning, planning, governance and practices. The project accomplishes this by working innovatively and collaboratively with stakeholders, and embedding activities in local universities.

For this fiscal year, the project’s intermediate outcomes were to improve the ability of stakeholders within the extractive sector in Peru to align gender-responsiveness and environmental sustainability within governance, policy and regulatory frameworks (1100) and policies that affect employment and local content (1300).

Activities to support these outcomes were implemented across three thematic priorities:

Inclusive Collaborative Governance - advancing more collaborative, inter-agency and participatory approaches to equitable governance, planning and practices, with a particular focus on impact benefit agreements, industry corporate social responsibility (CSR) practices, public participation in Environmental Impact Assessments, and the inclusion of women in decision-making. Inclusive Economy - fostering and testing innovative solutions for inclusive economic activities and sustainable livelihoods, with a focus on women, youth and indigenous peoples. Co-Lab Peru supports opportunities directly related to natural resources (jobs, access to supply-chains, effective CSR investment) and economic diversification to create more sustainable legacies from mining including inclusive business ecosystems and local enterprise development.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 65 Inclusive Universities - working with local Peruvian universities for more engaged development work, research and partnerships. Co-Lab Peru fosters inclusiveness through innovative experiential- community-based learning, and collaborative research that connects the universities and students with the challenges faced by the communities they serve. The immediate outcomes achieved through the project’s outputs for the fiscal year are elaborated below. Increased number of men and women with the necessary skills to implement gender-responsive and environmentally sustainable policies, regulations and revenue investment plans for domestic extractive sector.

Co-Lab Arequipa (AQP) - CIRDI has made significant progress in collaborating with the Universidad Católica San Pablo (UCSP) and other stakeholders in Arequipa on the design of the region’s Co-Lab program. The partners have demonstrated a willingness to co-create a program that meets local needs, is sensitive to the capacity and resources of the host institution, and develops personal relationships with all parties to secure project buy-in. Launching in Fall 2017, the program is designed to enable students to critically evaluate how specific groups within the Arequipa region are excluded from participating in markets, and how innovative, sustainable initiatives for more inclusive growth and shared governance can be created to address this problem. The program will comprise academic and practical modules, with the latter providing students with valuable opportunities to field-test potential policy interventions. UCSP has committed three academic staff and support staff to the project. Given the novelty of the program’s approach for the university, the project development process itself has increased local capacity and has generated significant support from the UCSP team for pedagogical innovation. On-line Social and Engagement Platform - The Co-Lab Peru website (colabperu.org) went live in December 2016, and functions as a platform to increase awareness, engagement and capacity around issues related to mining in Peru. In the fourth quarter, social media channels (Twitter and Facebook) have been integrated with the website in order to encourage broader engagement. In addition, YouTube is being used to showcase video interviews with community leaders. To date, the videos have addressed the following topics: 1) Women and Mining: State - Company – Community; 2) Women and Mining: Gender, Participation and Leadership; 3) Social Impacts; 4) Development from an Indigenous Leadership perspective; and 5) Universities as Community Bridges. 44% of the YouTube video time has been watched in Peru with 75 visits to date. Leadership and Collaborative Governance Program – In collaboration with the UCSP, planning continued this past year on the Co-Lab Peru Leadership Program that will focus on building leadership and engagement skills to a broad cross-section of individuals from the government, civil society and private sectors. Participation is capped at 28. The program is to be held in Arequipa July 2017. Simon Fraser University’s Beedie School of Business Executive Education staff and others will be partnering with UCSP to provide participants an opportunity to build relationships and explore issues at the fore of resource governance. Peruvian Women and Mining - A Policy Agenda: Achieving Equity in Governance, Social Benefits and Economic Opportunities Peruvian Women and Mining - The goal of this research project is to bring a gendered perspective to research, policy and capacity-building initiatives in Peru with respect to women and mining. This research will evaluate government, industry and civil society policy and institutional frameworks, governance structures and participatory practices, as well as social and economic initiatives, in order to identify gaps and leading practices for improving gender equity in mining regions and related activities.

The Arequipa Co-Lab program (once implemented), On-line Social and Engagement Platform and Leadership and Collaborative Governance Program will ensure strategies and curricula are delivered to address skills gaps and that course participants benefit from technical training. As an indication of impact to date, over 269 stakeholders (60 government officials) have been engaged in Co-Lab Peru programming, with an approximate 50/50 gender split (women/men) for all activities.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 66 CoLab Peru Participants Sector CoLab Peru Participant Breakdown Gender Breakdown

18% 19%

24% 22% 49.6% 50.4% 17% Academics Community Members Government Industry NGOs Men Women

Improved ability of local stakeholders to innovate, adapt or adopt global leading practices for extractive sector policies and frameworks affecting employment and local content that are also gender-responsive and environmentally sustainability. Progress continues on five (5) distinct applied research projects that are part of the CoLab Peru Program.  Digital Innovation for Shared Governance - The high level goal of this pilot project is to validate whether participatory engagement processes can foster dialogue and align stakeholders in order to prevent socio- environmental conflicts in communities impacted by mining operations. Key activities this fiscal year included the following: collaboration with partners SENACE and ULULA (ulula.com) to identify baseline engagement and pilot project parameters through a co-design process; identifying target communities in the design of impact assessment processes and metrics; and working on the pilot digital consultation tool (i.e. automated surveys and consultations) to gather community sentiment and project impact on livelihoods in mining-impacted communities.  Assessment of negotiated agreements (“IBAs/CBAs”) – In line with CIRDI’s efforts to conduct comparative policy research, the CoLab Peru team analyzed the Canadian and Peruvian experiences with new governance mechanisms, (specifically Negotiated/Community Benefit Agreements - “IBAs/CBAs”). These mechanisms are used to develop extractive projects in collaboration with indigenous groups or other stakeholders so as to ensure equitable distribution of project gains.  Moving Beyond Environmental Impact Assessments (EIAs): Identifying and Developing Inclusive Impact Measurements in Mining Context - This research has started and will result in the identification and testing of more inclusive measures of the impact of mining investments on social well-being and human development (sustainable development). The project adds value to conventional approaches by focusing on social and economic impacts, in addition to impacts on the environment and natural capital. The output is targeted for use by multi-stakeholders in Peru. This project contributes to CIRDI’s goals to provide advice and produce knowledge that will improve policies and frameworks affecting employment and local content.  Collaborative Governance and Engagement Practices in Extractives in Peru – This project critically evaluates private sector-funded social and development initiatives within the Peruvian extractive sector. Specifically, it will distinguish between governance, financing and evaluation mechanisms for these initiatives in order to generate a comparative analysis of the relative effectiveness of various approaches. Through case studies, the project will evaluate and document collaborative practices in the mining industry in Peru in terms of how they contribute to inclusive growth. This work relates to CIRDI’s goal of better understanding how the sector affects social sustainability in the local context.  Women’s Leadership Circle – Two Leadership Circles were held in Peru in the past year that strengthened the capacity of the women participants who came from various communities and organizations in the surrounding area. Specific themes and topics addressed included the generation of actionable strategies, policies and projects to work with the government (MIMP), the economic empowerment of women and access to education, gender violence in mining areas, and gender inclusion in decision-making.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 67 Progress on integration of cross-cutting themes a) Gender – This project aims to enhance the visibility of women’s concerns around the mining sector, including gender-based violence; women’s social, cultural and economic rights; and women’s participation in decision-making. It also develops women’s leadership capacities to strategically plan and address social, economic, and environmental challenges in these contexts. Gender perspectives on mining impacts and priorities have also been integrated into all Co-Lab research projects. This includes evaluating government, industry and civil society policy and institutional frameworks, governance structures and participatory practices, as well as their social and economic initiatives, to identify gaps and leading practices for improving gender equity and access to benefits in mining regions. Importantly, the approach ensures the inclusion of women’s own voices in the process. For example, the Women’s Leadership Circles held in Arequipa brought together women leaders from communities with mining activities in Arequipa to explore opportunities for a leadership program and to hear and learn from their experience regarding leadership in communities. The Ministry of Women also engaged with the Co-Lab Peru team to explore common ground and collaboration in the ongoing Women and Mining research. b) Environment – Improving the governance and implementation of Environmental Impact Assessments is a key focus of CIRDI’s Co-Lab Peru program. The Co-Lab Peru team are working with SENACE, a newly constituted public agency (which is part of the Peruvian Ministry of Environment) responsible for the revision and approval of Environmental Impact Assessments (EIAs) for all nationwide public, private and mixed investment projects, including mining. The program also has a specific focus on innovative community-building approaches/methodologies, such as online engagement platforms and the use of mobile technology. Progress also continues on the research project “Moving Beyond Environmental Impact Assessments: Identifying and Developing Inclusive Impact Measurements in Mining Contexts,” including a literature review on frameworks and tools for inclusive social impact measurement, which will result in a policy brief and report for use by diverse stakeholders in Peru to develop more inclusive measures of the impact of mining investments on social well-being and human development. c) Governance – All program activities incorporate the five interrelated governance principles: (1) inclusion and participation of people in decision-making processes, institutions and service delivery; (2) equity, equality, and non-discrimination for all; (3) transparency of processes and accountability towards people; (4) efficiency and effectiveness of the public sector to fulfill state’s responsibilities; and (5) capacity and responsiveness to the needs of the population. Co-Lab Peru’s research streams examine a number of rights-based issues as they affects the resource sector in Peru. The Co-Lab in Arequipa, Women’s Leadership Circles, Leadership and Governance Program and other action areas around improving EIAs are all focused on communities securing their future through inclusive governance. Lessons Learned/Program Adjustments  The project team is encouraged by the high-degree of interest from our academic partners for new curricula and pedagogical tools to advance sustainability in Peru’s mining regions. In particular, interest has been demonstrated in customized education and opportunities for change in curricula/pedagogical approaches to catalyze transformative and strategic change in mining regions in Peru.  With the change in government in Peru this past year, a number of our counterparts and evolving relationships disappeared. However, we have learned to maintain connections through other Peruvian partners who have been reintroduced/reconnected to the new government offices. This has proven beneficial as we are reconnected with both MINEM (Ministry of Energy and Mines, General Directorate of Social Management) and WIMP (Ministry of Women and Vulnerable Populations).  In developing the On-line Digital Platform, it was discovered that our target participants in Peru use Facebook as their preferred digital medium, not Twitter or other platforms. Adjustments were made

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 68 accordingly.  Related to the Co-Lab Arequipa (AQP), one of the key lessons learned from our meetings and activities over the past year was to ensure that meeting minutes are referred to during each meeting. Ensuring minutes from previous meetings were made available to all clearly shows what contributors and stakeholders had committed previously which, in an international context, can be complex, especially as circumstances surrounding a pilot project evolve.  In work related to the Digital Innovation for Shared Governance project, it was noted from key meetings with SENACE and others that community engagement workshops currently being held are too general in terms of scope and information. In some cases there was no mock-up of the mining projects so that there was no real understanding of any of the effects and impacts of the projects among attendees. Furthermore, existing processes for community engagement are complex, with many workshops not allowing people to realize how close they might be to an open pit site or a new highway. Often no documentation was provided and no translation given for particular communities. It is necessity to modernize this process with more interactive, audiovisual tools.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 69 The Rise in Conflict Between Mining Companies and Communities: What Lies Beneath [2014- 070] REPORTING PERIOD: April 2016 to March 2017 Project status: Complete Start date: July 2015 End date: September 2016 Country(s): Global (with case studies in Bolivia, Madagascar, Peru and Tanzania) Total budget: $257,893 Actual spending to date: $251,645.28 Actual spending during reporting period: $93,223.27 Client/Beneficiary: All stakeholders involved in, contributing to and impacted by conflict associated with mining projects including government agencies at the national, regional and local levels, exploration and mining companies, local communities, institutions at the international, national and local levels, civil society, academia and professional field practitioners. Role of local government or regional institution in the project: Key individuals and organizations were interviewed in each case study, including representatives of national, regional and local governments, institutions and civil society organizations. All draft reports produced by the project are being reviewed by a multi-stakeholder External Review Committee which includes representatives of government agencies, national and international institutions, and civil society organizations. National and local governments of host countries were informed of our intention to conduct case studies, with permission sought and granted to proceed. Theme & CIRDI outcome(s):  1100 - Fiscal and Regulatory Governance (34%)  1200 – Integrated Resource Management (33%)  1300 – Livelihoods and Employment (33%) Core activities:  Apply Research (100%) Summary of immediate and intermediate outcomes for the reporting period: During FY2016-2017 the Conflict Study Final Report and all its appendices were completed and submitted to CIRDI for review, with the final report published on CIRDI’s website in Q4. The study has mobilized knowledge and increased access to information on leading global practices for extractive sector policies and regulatory frameworks in relation to mining-related conflict. The dissemination of this research will enhance the capacity of diverse stakeholders in developing countries to innovate, adapt or adopt these leading global practices to their local contexts and policies in order to better mitigate and/or manage conflict (Immediate Outcome 1110). The final report facilitates an improved, systematic understanding of conflict and mining, including contextual factors, underlying drivers and triggers, the roles of key players and the contribution of all these factors in defining the conflict histories and trajectories. CIRDI’s Learning Team is now exploring the most effective ways to disseminate the results of this study to diverse audiences through a multi-faceted knowledge mobilization strategy, including a publication strategy, industry outreach and academic workshop anticipated for FY2017-18. At the initiative of the project lead, results from the study were presented at Ryerson University’s Institute for the Study of Corporate Social Responsibility in Q3. The UNDP has also expressed interest in this project and is currently funding an incremental advance of this study focused on the role of government in mining-related conflict. Progress on integration of cross-cutting themes: a) Gender –

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 70 i. Gender equality was an essential consideration throughout the planning and implementation of this study. For the field case studies, gender equality was a consideration for research assistants, local field specialists and interview participants as follows: Research Assistants: Literature Review: 1 female; 1 male Conflict database analysis: 4 female; 0 male Local Field Specialist Hires: Latin America: 1 female; 1 male Africa: 1 female; 1 male ii. Female interview participants during field case studies: Peru 45%; Bolivia 25%; Madagascar 31%; Tanzania 21%; (NB: in some countries there are cultural barriers to maintaining gender equality during interview processes). The field research included questions aimed at understanding the concerns of all stakeholders, including women and vulnerable groups. The questions were designed to create openings for all participants to raise any issues, concerns or experiences that seemed relevant within the context of the broader discussion. Conscious efforts were made by the field team to not bring pre-conceived notions to the interviews. As an example, here are two questions from the project’s field questionnaire guide:  “Are there members of the community who are not represented in decision-making processes?”  “How do these people get their voice heard and have decisions made?” b) Environment – Concern for environmental impacts are often key drivers of conflict and mining, particularly as it affects the quality and supply of water for human consumption and agriculture. Particular attention has been given to this area in both the desktop and field-based components of the project. c) Governance – Governance capacity issues are important potential contributors to conflict and can affect any or all of the stakeholders including companies, host governments, communities and special interest groups. Particular attention was given to this topic in both the desktop and field-based components of the project. During all 4 case studies, government representatives at the national, state and local levels were engaged in the interview process. Lessons Learned: Improved planning and resource allocation is necessary for future work. The data analysis and writing up of field case studies was complex and multi-dimensional, and took more time than was allocated in the original project implementation plan. Similarly, the time for data analysis and writing of the final report, including review by the Conflict Study Leadership Team and External Review Group, took more time than originally allocated. In future, adequate time in the budget and work plan needs to be allocated to these activities. Case study report templates will enhance efficiency. For future case study research, a field case study reporting template will be developed to increase the efficiency of data gathering, organization and recording, during and after field investigations. Dissemination strategy needs to be included in original project implementation plan. As this project was approved before the restructuring of CIRDI, there was no dissemination strategy included in the original project implementation plan. CIRDI’s Learning Team is now working to ensure knowledge mobilization is achieved for maximum outcome in terms of improved access to information for all relevant stakeholders.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 71 Education and Research for Integrated Water Resources Management (IWRM) in Peru [2014- 071] REPORTING PERIOD: April 1, 2016 to March 31, 2017 Project status: Approved Operational Start date: July 2015 End date: March 2018 Country(s): Peru Total budget: 608,902 Actual spending to date: 370,659.91 Actual spending during reporting period: 226,608.37 Client/Beneficiary: National Water Authority / Autoridad Nacional del Agua (ANA) Role of local government or regional institution in the project: The National Water Authority (ANA) is the main beneficiary of the education and training activities, the core activities of this project. ANA is also a partner in the convening and research initiatives. Theme & CIRDI outcome(s):  1100 - Fiscal and Regulatory Governance (25%)  1200 – Integrated Resource Management (65%)  1300 – Livelihoods and Employment (10%) Core activities:  Deliver Advisory Services (5%)  Apply Research (15%)  Educate and Train (65%)  Convene (15%) Summary of immediate and intermediate outcomes for the reporting period: For the fiscal year, the project’s intermediate outcomes were to improve the ability of stakeholders within the extractive sector in target countries to align gender-responsiveness and environmental sustainability within governance, policy and regulatory frameworks (1100), integrated resource management frameworks (1200) and policies that affect employment and local content (1300). From an institutional perspective, it is expected that efforts to institute durable local partnerships and project infrastructure at the onset will ultimately support broader outcomes that ensure CIRDI itself is recognized as a global leading practice in the area of sustainability in the extractives sector (1400). Activities implemented in support of specific immediate objectives are elaborated below.

Increased number of men and women with the critical and creative skills to understand and implement gender- responsive integrated natural resource management plans in the extractive sector integrating environmental sustainability leading practices.

 National workshop on Environmental Participatory Monitoring Committees: Workshop held with over 200 attendees and representation from 22 committees from 7 Peruvian regions. Four NGOs and 8 international and national mining companies were also represented. The Ministry of Mines, Ministry of Environment, National Office for Dialogue and Sustainability and National Water Authority (ANA) also participated. Municipal governments, including four mayors were in the attendance. A draft report and a video summarizing the event have been produced and have been reviewed by relevant partners. Completion of the workshop report and video of the proceedings are expected in Q1 2017-18. This convening of diverse participants was significant as the last national meeting on participatory monitoring occurred in 2009.

For the participants, the workshop resulted in increased access to information on the composition, location, scope and resources of participatory environmental monitoring groups, and fostered an improved

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 72 understanding and awareness of the roles, leading practices and resources of participatory environmental monitoring groups. This information has been captured and will be disseminated in the workshop report and video. Building on the results of the workshop, CIRDI and the UNDP have begun discussions to conduct a case study on a successful monitoring committee in Peru, as well as undertaking the mapping of participatory monitoring initiatives across Latin America with the goal of understanding the current practice, challenges and opportunities related to participatory environmental monitoring in the region.

 Integrated Water Resources Management (IWRM): Courses from the UBC Certificate in Mining Studies (CMS) are now part of the recently approved Water and Mining Diploma at the Pontifica Universidad Católica del Perú. The three UBC online CMS courses were developed, finalized and translated this year. In the fourth quarter, fifteen students took the online and in-person modules of the Integrated Watershed Management course. The remaining two courses will be delivered in Q1 of FY2017-18. Five course participants are employees from the National Water Authority, with the remaining ten comprised of representatives from mining companies, academia and consultants. This supports CIRDI’s work to deliver strategies and curricula that address local skill gaps as they relate to natural resource management.

 Continuing our collaboration with national and regional universities in Ancash and Cusco, CIRDI, through this project, has signed individual Research MOUs with Pontificia Universidad Catolica del Cusco (PUCP), Universidad Nacional Santiago Artunez de Mayolo (UNASAM) and Universidad Nacional de San Antonio Abad del Cusco (UNSAAC). The MOUs aim to establish the foundation for collaborative applied research projects between the partnering Canadian and Peruvian universities on themes related to water resource issues in Peruvian mining regions. Cumulatively, the MOUs aim to ensure that CIRDI’s strategic objectives to conduct and apply research about policy gaps and skills gaps related to water resource management are fulfilled.

 CIRDI organized a research network workshop with 2 UBC researchers and 15 professors from the Geology, Mining and Metallurgy department from UNSAAC in Cusco on February 22, 2017. In addition to raising awareness related to IWRM research themes, the workshop resulted in the creation of four research groups and four concept notes that will be converted into research proposals and submitted for future funding Peruvian agencies. This workshop was a direct result of the MOU signed between CIRDI and UNSAAC, demonstrating that the MOU is already yielding research collaboration.

 Women, Water and Mining : A conference on Women, Water and Mining organized by CIRDI and the School of Public Policy at Catolica University took place in February 16‐17, 2017. The conference raised awareness of the challenges and impacts of mining on the lives of women, especially Indigenous and rural women. The Canadian Ambassador to Peru, CIRDI’s CEO and the Peruvian Vice-Minister of Women and Vulnerable Populations were among the conference’s 180 participants, who represented government, industry, academia and civil society. Thematic content was delivered through six panels on the following topics: o Gender, artisanal and small scale mining and water perspectives, problems and challenges; o Using a gender approach in the process of dialogue and conflict transformation; o Conflict and risk perception in water quality and health; o Views from the civil society perspective: women in the context of mining investments; o Social inclusion and income distribution of the extractive sector; o Sustainable Development Goals, gender and mining.

According to a post event survey, 86.8% of the respondents felt that the themes discussed achieved their expectations and matched their interests. Furthermore, 90.1 % of the survey respondents reported they were very satisfied and moderately satisfied with the overall organization of the conference. Moreover, several participants suggested that due to the importance of the theme other events on gender inclusion and equality should take place in Peru. These outcomes are an important contribution to CIRDI’s efforts to

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 73 ensure the Institute acts as a trusted convener of multi-stakeholder meetings on employment and local factors, as they relate to ensuring the long-term environmental and social sustainability of the extractive sector.

 Cerro Verde Case Study: The Cerro Verde Case Study results were presented at the 28th World Mining Congress in October 2016 and at the Risk and Resilience Solutions Conference in November 2016. This study, of the Cerro Verde mine’s development of a wastewater treatment plant in Arequipa, illustrates how a collaborative approach can create an innovative solution to a business need, a community issue and an environmental challenge. It ultimately demonstrates how mining can contribute to sustainable development.The presentation of the preliminary results has increased awareness of public-private water infrastructure projects specifically relevant to water resources management in Peru. The final report will be shared with partners and made available on CIRDI’s website.The development of case studies is a critical component of CIRDI’s work to advance research and pedagogical tools that will be able to inform policymakers and civil society groups well beyond the life of the project.

Progress on integration of cross-cutting themes: a) Gender – Gender considerations are at the forefront of this project, as women in Peru do not have equitable access to resources or decision‐making. The Women, Water and Mining Conference (Feb. 16-17 2017) generated much interest, and secured the participation of high-level officials including Canadian Ambassador to Peru, CIRDI’s CEO and the Peruvian Vice-Minister of Women and Vulnerable Populations, signaling that this is a priority issue. As a result of the event, 180 men and women have enhanced knowledge related to the role of women in water management in Peru. Furthermore, a research project focused on understanding the role, challenges and opportunities for women’s engagement in participatory environmental monitoring committees has been designed, with research under way. All these activities will increase the profile of the diverse roles of women in water management, identify challenges and opportunities for women within this field, and increase women’s access to information, data and educational opportunities. This will advance women’s equal participation as informed decision‐makers in shaping sustainable development in their communities.

b) Environment – This project enhances the capacity of Peruvian actors for informed, evidence-based decision‐ making in regards to their water resources. By enhancing the capacity of national and local government, civil society and academic actors to better understand and manage their water resources, this project promotes environmental sustainability and protection.

c) Governance – All activities under this project focus on enhancing the governance capacity at ANA, other government organizations (local and regional), Peruvian universities and civil society organizations such as participatory environmental monitoring committees. Capacity building, equal participation, community engagement, and panel and roundtable discussions, all reflected in this project, are important elements for strengthening governance institutions and participation.

Lessons Learned Although the new Peruvian president took office in August 2016, with the new ministerial cabinet appointed August/September, it took several months and extra engagement efforts to ensure continuous active partners engagement. In times of government transition, developing and implementing activities that do not exclusively depend on the government is a key element to not stalling the project.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 74 Supporting capacity-building and multi-level governance of small-scale gold mining: a collaborative project on mercury, deforestation and rural livelihoods in Indonesia [2014-077] REPORTING PERIOD: April 1, 2016 to March 31, 2017 Project status: Approved operational Start date: Contract Signed: March 23, 2016 Kick-off Meeting: April 14, 2016 End date: March 31, 2018 Country(s): Indonesia Total budget: $179,669 Actual spending to date: $30,749.66 Actual spending during reporting period: $30,749.66 Client/Beneficiary: Provincial Government of Central Kalimantan, and district governmental authorities involved in implementing the Minamata Convention on Mercury in the small-scale gold mining sector; ASM communities in Central Kalimantan districts: Gunung Mas, Murung Raya, Katingan. Role of local government or regional institution in the project: Government authorities will implement the Minamata Convention on Mercury in the artisanal and small-scale mining sector and the project will feed into the strategies for this. Theme & CIRDI outcome(s):  1100 - Fiscal and Regulatory Governance (12.5%)  1200 – Integrated Resource Management (50%)  1300 – Livelihoods and Employment (37.5%) Core activities:  Deliver Advisory Services (25%)  Apply Research (25%)  Educate and Train (25%)  Convene (25%) Summary of immediate and intermediate outcomes for the reporting period: This project officially launched in April 2016. Following the launch, this project’s first fiscal year focused on generating critical baseline for the ASM sector in Central Kalimantan, Indonesia. This information was generated via:  Over 100 individual interviews of key ASM stakeholders from national, regional, and local governments and miners associations  Over 12 collaborative focus / discussion groups which included 2-way information exchange  Development of a methodology and draft guide for visual methods data collection (photos, videos, stories, live-history interviews) to effectively capture perspectives on the environmental and social dimensions of gold mining in the 3 target areas  Over 60 mine sites visited and informal dialogue captured using visual data collection methods The baseline information enabled identification of key challenges and strategic intervention points for sector improvement, formalization, and reduced Hg-use. The baseline research conducted this year feeds directly into the project outcome aimed at the improved ability of ASM stakeholders to make coordinated and data-based decisions regarding effective ASM sector policy in Central Kalimantan. Dissemination of this baseline information occurred in the following ways:  Key-note address at the international conference, “Community Mining in Indonesia: Minimizing Harm, Maximizing Benefits” (Jakarta), to over 200 stakeholders, including government officials (national, regional, local), community members, and ASGM sector participants (miners)

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 75  Two academic papers produced and currently under review with peer-reviewed journals  Over 20 meetings with association presidents and government officials Through the collection and dissemination of this information in participatory forums, the project also made significant strides towards strengthening awareness of socio-economic, political, technical and environmental dimensions of gold mining in 3 districts in Central Kalimantan (Katingan, Kapuas and Gunung Mass), and improving connectivity and communication for improved and coordinated decision making regarding ASM among policymakers, larger companies and other stakeholders.

In Q1: The project was in approved operational status. The results during this period primarily related to project start-up. These included finalization of hiring the project team (signing a formal contract with local partner, YTS, and hiring a graduate student), analyzing existing policy and legislative documents, securing Ethics Approval from the University of Edinburgh, and planning a kick-off trip with local partners, miners and other local stakeholders. Through the informal interviews with local partners, a review paper reviewing issues on Minamata Convention implementation in Indonesia was drafted by the Project Lead and YTS. Visual methods of data collection and methodology draft were developed and were shared with local partners in the third quarter.

In Q2: The project focused on examining social, political, and economic challenges related to mining in a variety of sites across Kalimantan and increasing connectivity between various ASM stakeholders from the community level and district government to national-level governments. The key findings from this period are:  ASGM in Gunung Mas has grown over the past 10 years, causing a gold rush in 2014 that affects the livelihoods and environmental condition of impacted communities.  IPR (community mining permit) being an issue for the district government and the mining communities. Cultural diversity spotted in the WPR (community mining area) of Gunung Mas.

In Q3: The project focused on disseminating research among stakeholders to enhance knowledge and enhance capacities for managing opportunities and challenges in the small-scale gold mining sector. Activities carried out during this quarter include:  Knowledge dissemination through the Project Lead keynote address at an international conference on ‘Community Mining in Indonesia: Minimizing Harm, Maximizing Benefits’. The presentation addressed national and local government officials and ASM stakeholders as policy makers.  The Project Lead worked with APRI (Indonesian Community Mining Association) at the national and regional level by sharing knowledge on organizational strategies and livelihood planning correlated with small-scale mining activities.  A field mission to Murung Raya District of Central Kalimantan was completed to investigate WPR/IPR histories. The team conducted meetings with the provincial mining office, environmental authorities, and ASPERA (Artisanal Mining Association in Central Kalimantan), and engaged with stakeholders (small- scale miners with and without a license, customary leaders, village government officials and community public figures) to enable data-gathering, map visualisation and sketching. This activities increased awareness about development challenges related to WPR establishment.

In Q4: The project focused on sharing knowledge and maintaining communication between the local partners and team. The Project Lead prepared an ecological economics paper looking at issues related to the Minamata Convention National Action Plans. A plan is being developed for visual methods and participatory workshops for managing ASGM challenges. The team is communicating with APRI to share knowledge about their ongoing plans and strategies on strengthening local association capacities for ASGM legalization. Progress on integration of cross-cutting themes: a) Gender – The project team is targeting gender inequities and developing gender-responsive approaches to inform strategies for reducing sources of toxic exposure (mercury) for vulnerable populations. Gender

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 76 sensitive interviews have been conducted to inform the project. This include women’s life histories and their engagement in the mining area. b) Environment – The project has produced an academic article entitled ‘Phasing Out Mercury? Ecological Economics and Indonesia’s Small-Scale Gold Mining Sector’ to raise awareness about current environmental ASGM related in Indonesia. c) Governance – Multi-government strategies for allocating WPRs (Community Mining Zones) are central to the project. Unregulated cinnabar mining development will become a future threat to mercury reduction strategies in Indonesia. Lessons Learned: Miners see the benefits of legalizing heavy equipment such as excavators in IPR (community mining) areas, as expressed by IPR license holders and ASGM practitioners. Stakeholders agree it is worthwhile to promote the use of new equipment for national policy advocacy on WPR/IPR matters. Thus, further discussion with national and provincial authorities is needed to mobilize the scaling up of desired equipment. In addition, the ASGM sector is heterogeneous, information exchange and decentralized governance therefore remains problematic. The ASGM sector in Indonesia faces complex problems related to information exchange and decentralized governance.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 77 The Relationship Between Local Procurement Regulatory Environments and Local Procurement Strategies of Mining Companies: A Comparison of Two Sub-Saharan African Countries [2014- 079] REPORTING PERIOD: APRIL 1 2016 – MARCH 31 2017 Project status: Completed (February 2017) Start date: August 2015 End date: February 2017 Country(s): Namibia and South Africa Total budget: CDN $198,470.00 (including in-kind); less in-kind CDN $188,487.00 Actual spending to date: $192,235.93

Actual spending during reporting period (FY16/17): $101,175.65

Client/Beneficiary: Relevant Ministry in the selected countries Role of local government or regional institution in the project: Local Ministries from Namibia and South Africa participated in the research process and are the recipients of the final product. Theme & CIRDI outcome(s): 1300 – Livelihoods & employment (100%) Core activities:  Apply research (50%)  Educate and train (50%) Summary of immediate and intermediate outcomes for the reporting period This study, completed and launched in the fourth quarter of this year, will lead to the intermediate outcome of improved formulation and implementation of extractive sector policies and regulatory frameworks affecting employment and local content through an improved understanding of local procurement policies in Namibia and South Africa.

Activities implemented in order to achieve related immediate goals are explained in further detail below:

Comparative research project on policy gaps in Namibia and South Africa

 Led by Engineers Without Borders (EWB), the project team included Professor Dirk Van Zyl (UBC) and Suzette McFaul (Managing Director, SEF Canada), as well as researchers from both UBC and SEF. The team successfully completed a field research trip to Namibia and South Africa in the first quarter during which they met with key stakeholders (including government) and conducted site visits with fifteen mining companies in both countries in order to identify relevant policy gaps and opportunities for intervention. Following this mission, the team reviewed and consolidated all project data into an interim project report. The report details the relationship between local procurement and development outcomes, and the specific, anticipated benefits of local purchasing in Namibia and South Africa; the extent to which mining companies are upholding local procurement regulations; local procurement strategies of mining companies operating within South Africa and Namibia; and factors that influenced mining companies to develop their local procurement strategies in a particular way.

Meetings of governments and stakeholders to discuss extractive sector policies, regulatory frameworks and approaches affecting employment and local content

 The final report was completed in the fourth quarter and was officially launched at the Investing in Mining Indaba Conference in Cape Town, South Africa, and later at the Namibia University of Science and Technology (NUST), to ensure that research is applied and shared with relevant stakeholders. Through this outreach, findings were shared with mining regulators from across sub-Saharan Africa, including South

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 78 Africa and Namibia. The report was also launched on EWB and CIRDI’s websites and disseminated through both organizations’ networks. Through mobilizing and disseminating applied research findings, this study increases access to information on leading global practices on local procurement. This study contributes to a growing body of research that will assist in the adoption of local procurement policies, thus increasing the degree to which mining companies purchase their goods and services locally. MSV is currently translating the report into French to allow for further dissemination.  The project team also facilitated a workshop held in coordination with the High Commission of Canada to South Africa on Effective Local Procurement Regulation and Best Practices in South Africa and Beyond during Mining Indaba. The event was well-attended, with over 50 participants from relevant stakeholder groups. Participants engaged on the question of how to encourage local procurement in the South African context and enhanced their knowledge and understanding of effective local procurement best practices and regulations in South Africa. Detailed notes from the workshop were shared with participants, which contributed to their knowledge of key topics including the state of affairs of the mining sector, implications of existing mining regulations in South Africa and the region, the implication of the new draft Mining Charter in South Africa, and initiatives and best practices undertaken by the mining industry.  As part of the dissemination strategy, a project brief was prepared for the Intergovernmental Forum on Mining, Minerals, Metals and Sustainable Development (IGF-MMMSD) at the end of October 24-28, 2016

Progress on integration of cross-cutting themes a) Gender – Gender was a key consideration in the field research for this project. The following stakeholders were engaged throughout the field research in Namibia and South Africa: federal government, industry associations including the Chamber of Mines, civil society groups, academia, mining companies, suppliers, the Canadian High Commission and Trade Office, multilateral organizations and other relevant groups. These stakeholders were largely engaged through one-on-one interviews. The gender balance was approximately 66% male and 34% female. At the beginning of the field work a workshop was co-hosted between the project and the Canadian High Commission in Johannesburg, South Africa involving representatives from mining companies, suppliers, South African national government, multilateral organizations, academia, and consulting and civil society groups. The gender balance of this workshop was approximately 40% male and 60% female. b) Environment – As carbon offsets cannot be charged to the project budget, the projected amount to be used for this purpose has been re-allocated to other project expenses. In addition, although a number of companies cited that their suppliers must follow codes of conduct, some noting suppliers must follow ISO or Canadian standards, very few specified environmental standards. c) Governance – This theme is directly related to the focus of this project. The research from the field is aimed to support Sub-Saharan mining regulators to make informed decisions about local procurement regulations. Lessons Learned  A key finding of the report related to further research was that there is significant room to do in-depth longitudinal analyses with select companies to see how their behavior changes with soft and hard policy measures introduced over a number of years. It is suggested that this is likely to be most productive within a specific country. There are diverse factors that vary between countries -- in the case of South Africa and Namibia, this make it impossible to draw a direct correlation between presence and absence of regulation and company behaviors.  It is challenging to tri-angulate findings based on interviews with mining companies. The interviews with mining companies regarding local procurement were largely from the company angle and not that of the supplier. Where the suppliers were interviewed as well, the mining company was either present or the mining company had selected the suppliers, leaving room for potential bias. In addition, it was heard that the national government largely does not represent many of the needs of local suppliers at or near the mine site. This was challenging to overcome given the scope of this research project and emphasis on

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 79 engaging mining companies and national regulatory bodies, but the potential gaps in representation and biases should be noted.  It is complex to compare South Africa and Namibia since they have very different histories. Given the fact that Namibia has not had any elections for 23 years, it makes comparing the two governance frameworks and pieces of legislation complex. In such an instance, local procurement/content legislation would need to be examined without comparing the governance regimes responsible for its creation. If the country selection were to be repeated it is suggested that indicators such as the democratic index and Transparency International rates of these countries should be included in the decision matrix.  Logistical challenges during field research: Internet access in Namibia was poor making logistics and programming difficult to complete. In addition, some team members had issues with their lodging, including being assigned rooms without Wi-Fi. This took several days to address. Finally, a driver was hired for the UBC researchers in South Africa – this would not be recommended in the future. Meetings frequently changed and a more flexible service, such as a taxi or Uber, would be recommended in cases where individuals are not comfortable with driving.  There was significant difficulty to engage government in Namibia and South Africa in the project research. The UBC researchers continued to follow-up over the past months without any success. They have re-iterated that in similar projects in the future it is crucial to have a local person involved who can set up and foster relationships in the countries of focus, especially related to government.  In the context of strict reporting requirements under Global Affairs Canada, it makes it challenging to bring subcontractors onto the project. This is an important consideration for future project design for projects with numerous subcontractors required for significant aspects of the project.  Based on this initial study of the relationship between local procurement regulation and the amount of goods and services that mining companies purchase locally, a number of opportunities for future research were identified to better understand the dynamics of mining company behaviors as a result of local procurement regulation. These are outlined in the final report on page 52 under Potential Future Studies.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 80 Blazing the path to formalisation: artisanal mining, wealth creation and rural livelihoods in Ghana [2015-010] REPORTING PERIOD: April 2016 to March 2017 Project status: Approved operational Start date: April 1st, 2016 End date: September 30, 2017 Country(s): Ghana Total budget: $189, 870 (combined budget for University of Bath and University of Surrey) Actual spending to date: $112,754 Actual spending during reporting period: $112,754 Client/Beneficiary: Ghana Minerals Commission, small-scale miners and mining communities in Ghana Role of local government or regional institution in the project: The local project partner in Ghana is the University of Mines and Technology (UMaT), which is coordinating the collection of the financial diary data. Staff members at UMaT will also be involved in the first and second workshops. Theme & CIRDI outcome(s): 1300 – Livelihoods and employment Core activities:  Advisory services  Apply research Summary of immediate and intermediate outcomes for the reporting period This fiscal year, this project established a replicable research method for tracking financial flows in artisanal and small-scale mining (ASM) communities – “the financial dairies method”. One Ghanaian researcher from the Twarka University of Mines and Technologies was trained in the financial diaries method, and was provided on- going support to implement research on financial flows in 3 Ghanaian ASM communities. The research generated via this training will result in project outputs that will increase the number of Ghanaians with the critical and creative skills to better understand extractive sector policies and regulatory frameworks affecting employment and local content. Through the research carried out jointly between the principal investigators and their Ghanaian counterpart, the project continues to move towards the improved formulation and implementation of gender- responsive extractive sector policies and regulatory frameworks affecting employment and local content. During Q1, the principal researchers completed the project implementation plan. This required time spent reviewing the academic literature on the financial diaries methodology, making contact with relevant government officials and key stakeholders in Ghana, developing an interview schedule for the fieldwork and planning activities with the Ghanaian partners at the University of Mines and Technology in Tarkwa. During Q2, the investigators visited Ghana to train the local research team and to select and visit the sites. One UMAT staff in particular was provided with technical training on the financial diaries method. During Q3 and Q4, principal researchers provided on-going coaching and field-level recommendations to the field researcher via Skype communication and regular email exchange. For the project sites, it was determined through consultation that Kobriso, Japa and Noyem were the 3 most appropriate sites, as they are amongst the most productive and well established artisanal mining communities in Ghana, of a manageable size for the research. Field data collection began in September 2016. October 2016 to March 2017 therefore represented months 1-6 (out of 12) of data collection. Detailed financial field data is currently being collected on 36 miners/mining households with the following distribution: - Geographic: 12 from Kobriso, 12 from Japa, 12 from Noyem (potential for bonus data from a community just outside of Japa) - Stakeholder: data is collected at the household level and therefore includes individuals who play different roles across the ASM value chain (extraction, processing, middlemen, periphery, etc.) - Gender: though exact numbers are currently unavailable, emphasis has been placed on collecting information from both men and women

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 81 During Q4 the principal researchers visited Ghana to work with the field researcher from UMaT and conduct focus groups with small groups of miners from each community to supplement financial dairy data. As a result of this mission, small adjustments were made to the data collection methodology. The immediate outcome following the completion of the exercise will be the generation of critical baseline information on the formal and informal financial relations of artisanal miners, which can inform policy decisions about sector formalization. The Minerals Commission continues to express eagerness for the analysis of the data. Progress on integration of cross-cutting themes As noted above, the project is currently in the data collection phase of the project. We are therefore not yet able to undertake any detailed analysis of the financial diary data. This can only be done after the data set is complete. All three themes listed below will be important in our analysis. The data collection methodology has been designed to incorporate the cross cutting themes in the following ways: a) Gender – Both men and women will be surveyed and data will be gender disaggregated to allow analysis on gendered trends; financial policy recommendations will include consideration of the differential needs of each gender. b) Environment – Financial flow data includes purchasing of mercury and other processing chemicals, mercury-gold counter trade, selling of concentrate or amalgams, etc. The collection and analysis of this data will allow the drawing of environment-related conclusions. Financial data will also illuminate any current spending on environmental stewardship (of which it is anticipated there will be little to none). c) Governance – Financial data flow will give indication of any taxes paid or unpaid (including informal taxes [bribes]), etc. which will provide insights on the governance and formalization of the sector; financial data may also give indication of illicit or exploitative financial practices. Lessons Learned When collecting large amounts of data from individuals or households, project budget should include contingency funds for tokens of appreciation. Some miners are resistant to regular diary entries as it takes significant time. The researchers believe that being able to provide a token of thanks would improve their ability to collect data regularly and consistently. More expensive travel options may be more cost-effective if they can significantly reduce travel time. Currently the field researcher requires 8 hours to travel to Japa, which makes regular data collection in this community challenging. The team did not initially budget enough for this travel, but is now investigating budget adjustments to fix this.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 82 Natural gas projects and local community development in East Africa [2015-013] REPORTING PERIOD: April 2016 to March 2017 Project status: Approved Operational Start date: June 2015 End date: December 2016 Country(s): Tanzania Total budget: $49,905 Actual spending to date: $42,144.03 Actual spending during reporting period: $31,422.03 Client/Beneficiary: Government of Tanzania (government agencies in charge of gas development project management); local municipalities in the region of Mtwara Role of local government or regional institution in the project: Facilitation, communication of information Theme & CIRDI outcome(s):  1100 - Fiscal and Regulatory Governance (33%)  1200 – Integrated Resource Management (33%)  1300 – Livelihoods and Employment (34%) Core activities:  Apply Research (50%)  Convene (50%) Summary of immediate and intermediate outcomes for the reporting period During this year, this project  Mobilized knowledge on community-level development in gas producing regions and made it available to decision-makers and other stakeholders.  Mobilized knowledge on how government and other stakeholders can implement gender responsive community-level development initiatives in gas producing regions.

In Q1, project planning advanced. Dr. Rosemarie Mwaipopo, however, did not complete her anticipated work mission to Vancouver, Canada due to complications with her Canadian visa application. For this reason, the project was not advanced beyond project planning.

Through research and a one-day workshop facilitated in Q2, this project improved access to information and mobilized knowledge on the views and goals of stakeholders and community members directly or indirectly affected by the gas development processes. Applied research was completed through a baseline household survey and stakeholder interviews. 841 households in 10 villages in rural Mtwara were interviewed for the baseline survey; this was complemented by 10 stakeholder interviews. 32 stakeholders participated in a one-day workshop held at the University of Dar es Salaam in August 2016. Workshop participants included representatives from community-based organizations, civil society groups, non-government organizations, provincial and local level government (Mtwara District Council), and academia (UBC, University of Dar es Salaam, Stella Maris Mtwara University college, Open University of Tanzania). Unfortunately, given the tense political climate following Tanzania election, national government and industry representatives were unavailable to participate in the workshop and stakeholder interviews. Despite this, through the workshop knowledge was mobilized on how government and other stakeholders can implement gender responsive community-level development initiatives in gas producing regions. The discussions held at this workshop will be reflected in the project’s final report.

During Q3 the project’s academic lead, Vinay Kamat, presented a paper entitled, “In a Wounded Land: Gas Extraction, State Violence and Narratives of Indignation in Southeastern Tanzania,” at the American Anthropological Association, 115th Annual Meeting, held in Minneapolis on November 20, 2016. This presentation enabled Dr. Kamat to connect with researchers working on similar issues, including on gold mining in Northern

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 83 Tanzania and uranium mining in southeastern Tanzania. The role of NGOs in the extractives sector emerged as a key issue that needs to be further examined.

During Q4, the project team continued to work on the final reports. These reports will be delivered to CIRDI in 2017/18 Q1 and will be disseminated through the CIRDI website.

Progress on integration of cross-cutting themes: a) Gender – Gender considerations were built into the planning and implementation of both the workshop and the household survey. Of the 33 individuals who participated in the workshop, 11 were women- 3 from rural Mtwara (including 2 elected women representatives from the gas project-affected villages), and 8 stakeholders/experts representing various institutions in Dar es Salaam, such as REPOA and International Youth Foundation. At this workshop, Dr. Mwaipopo’s presentation in particular addressed rural Mtwara women’s perceptions and experiences regarding how the gas project affected their lives. Her presentation highlighted that women categorically stated that the gas project had not empowered them, but had in fact neglected women. The research shows that this is because gas development projects failed to address women’s concerns and their livelihood situations. In this particular study, many of the households in the gas-impacted villages are women-headed households in need of a reliable income, with many of the women landless, living as rural squatters. The research demonstrates that women are not accorded special consideration in decision-making forums on what needs to be done for people in the context of gas exploration. b) Environment – The research elucidates the meanings people individually and collectively give to their experiences of environmental dispossession. In the case of the gas project development in Mtwara, those who lost their farmland and intergenerational trees to the gas project were not only concerned about the economic loss they incurred, but also how the project permanently damaged their landscape. There is a persistent feeling among many residents that instead of creating opportunities for local employment, the gas project will push the people of coastal Mtwara toward more hardships and insecurities. This experience/perception of dispossession needs to be addressed by the government. c) Governance – Improving the governance of Tanzania’s natural gas industry, especially in the context of plans to upscale the Mnazi Bay gas project in rural Mtwara, significantly, continues to be the central research question motivating this project. It is anticipated that improving governance, with a focus on communities directly affected by the gas development projects, results in tangible benefits to the affected population in terms of poverty reduction and improvement in livelihoods. Tanzanian scholars have demonstrated that there is no dearth of well-meaning ideas and intentions aimed at bringing the benefits of the gas project to poor and marginalized Tanzanian citizens, especially in the Mtwara region. The challenge, however, is to implement measures to translate these intentions into tangible programs that will genuinely benefit those whose livelihoods have been compromised by the gas project. The way forward should be balanced development that does not repeat historically uneven patterns of development (e.g. developing the northern regions at the cost of the southeastern region). The extractive industry’s economic and social impact on local communities has reemerged as an important component of corporate social responsibility and national policy documents. It is imperative that the Tanzanian government adheres to some of the laudable provisions it has made in its revised National Gas Policy and Draft Petroleum Policy to increase transparency, engage with local-level actors in a meaningful manner, and mitigate the harms that the gas development activities have brought to the people of Mtwara. Among the first steps toward ensuring distributive justice it is imperative that accountability mechanisms are instituted to ensure that equitable compensation is provided to those who have lost their farmlands and other livelihood assets to the gas project. Ultimately those at the helm of policy making and governing actions must be fully convinced that the concerns surrounding displacement, dispossession, compensation and employment of those who have lost their land and

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 84 livelihoods to the gas project are real and must be urgently addressed. Through this research, this project seeks to address this need by giving voice to vulnerable populations in impacted areas.

Lessons Learned: It is important to do substantial background rapport-building work with key stakeholders well in advance of inviting them to participate in a stakeholder workshop or interviews on politically sensitive matters. This allows for answers that are more frank. Additionally, it is important to develop some in-built flexibility in the deadlines for the various tasks involved in such projects given the unexpected contingencies that emerge in local contexts. In undertaking qualitative, anthropologically-grounded research, it is important to bear in mind that data transcription, data analysis and write-up requires substantial time commitments from the entire team. Furthermore, data processing and analysis was significantly delayed due to one team member’s illness. The principal investigator (PI) was unable to communicate with this team member during this period, and she was unable to complete some of her work. This meant a delay in relaying the data (audio and transcribed data) to the PI, which delayed the completion of the project reports.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 85 Integrated Management and Governance in Extractives (IMAGinE) Mongolia [2015-022] REPORTING PERIOD: April 2016 to March 2017 Project status: Approved operational Start date: October 2015 End date: August 2017 Country(s): Mongolia Total budget: $310,597 Actual spending to date: $214,720.17 Actual spending during reporting period: $146,165 Client/Beneficiary: National government officials, Mongolian Ministry of Foreign Affairs (through the International Cooperation Fund, ICF), government representatives from ICF target countries (e.g. Kyrgyzstan and Myanmar). Role of local government or regional institution in the project: The Ministry of Foreign Affairs of Mongolia supports the organization of the workshop series by inviting and communicating with delegates in Mongolia and ICF target countries, and providing facilities and support for workshops hosted in Mongolia. Theme & CIRDI outcome(s):  1100 - Fiscal and Regulatory Governance (50%)  1200 – Integrated Resource Management (50%) Core activities:  Educate and Train (50%)  Convene (50%) Summary of immediate and intermediate outcomes for the reporting period: The primary Immediate Outcome targeted via the ICF-CIRDI workshop series this fiscal year was to increase the number of men and women in Mongolia and ICF target countries with the critical and creative skills to understand and implement gender-responsive extractive sector fiscal policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices. This outcome will lead to the improved formulation and implementation of gender-responsive extractive sector policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices. At all the workshops in this series, men and women will be provided with training and discussion forums on the formulation and implementation of gender-responsive extractive sector policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices.

In Q1, the ICF and CIRDI convened the first in a series of workshops focused on mobilizing knowledge on the state’s role in natural resource governance. The workshop was held in Ulaanbaatar, Mongolia in May 2016. Over 40 Mongolian participants and 6 international delegates attended, including Mongolian representatives from government, industry, civil society and academia, and international delegates from Afghanistan, Kyrgyzstan, Laos and Myanmar. Participants’ knowledge was enhanced in topic areas including transparency, enterprise ownership models, decision-making structures, achieving international standards, social responsibility, and consensus building. The workshop emphasized peer-to-peer learning among countries in similar phases of development, mobilized domestic and international knowledge, created new connections between stakeholders, and encouraged transparency in discussions on resource governance. 12 workshop participants visited Oyu Tolgoi, Mongolia’s largest copper mine, in order to to enhance their knowledge of global best practices related to the implementation of large scale mining projects.

In Q1 this project also facilitated the participation of a Mongolian doctoral student in the “Reversing the Resource Curse” course in Hungary, which was hosted by the Natural Resource Governance Institute (NRGI) and the School of Public Policy at the Central European University. The student had secured a tuition waiver for course. Through the student’s leadership capacity and knowledge on resource governance were enhanced, as the two-week

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 86 course provided peer-to-peer learning and engagement opportunities with leading global experts in the field. In particular, the student received training in revenue distribution management and fiscal regimes, and the workshop allowed him to network with other leaders from developing countries.

During Q2, the second workshop in the ICF-CIRDI workshop series was planned. This workshop was held in Bishkek, Kyrgyz Republic in November 2016 (Q3) and focused on the sound management of resources. 61 people participated, representing national government, industry and civil society. Participating countries included Mongolia, Kyrgyz Republic, Myanmar and Timor Leste. As reported by participants, peer-to-peer exchanges led to enhanced knowledge of leading natural resource governance practices, including on topics such as policy development, revenue management and corruption, public financial management reform, multi-stakeholder coordination and collaboration and transparency. The capacity of workshop participants to access information on leading natural resource governance practices was enhanced. 9 Mongolian delegates, representing the Mongolian Ministry of Mining and Heavy Industry, Erdenes Mongol State-Owned Enterprise, the Mongolian National Mining Association, the Mongolian Mining Journal, and the Mongolian Consulate in Bishkek, visited Centerra Gold’s Kumtor mine site and affiliated community projects in order to enhance their knowledge of global best practices related to the implementation of large scale mining projects.

Q4 focused on the organization of the final workshop in the series. The main objective will be to create a ‘flagship’ forum for young professionals to learn, share and collaborate through an interactive, hands-on learning environment which addresses current policy challenges and provides mentorship and support from international, national and local experts in natural resource governance. Identified subtopics will provide an opportunity to deepen workshop participants’ knowledge and understanding of various ownership models (state versus private), community benefits negotiation and settlement, and mine closure. Workshop organizers will provide international expertise to address global trends and Mongolian expertise to share recent experiences and knowledge. Mine site visits will include Tavan Tolgoi, the largest coking coal deposit in Asia, and Nalaikh, an abandoned coalmine located 35-40 kilometers from Ulaanbaatar.

In Q3 it was formally decided that CIRDI’s work in Mongolia would focus solely on the ICF-CIRDI workshop series. CIRDI’s other activities related to IMAGinE Mongolia – notably a modular course on the mine life cycle – were suspended. This was due to the 10% budget cut from GAC and contracting complications which impeded a successful partnership with GIZ’s Mongolia office.

Progress on integration of cross-cutting themes a) Gender – To promote equitable access to information and resources to increase women’s capacity for decision-making, organizers ensure female participation in all workshops. For the workshop hosted in Mongolia in May 2016, average female participation was 18.5%, with 22% of invited panelists and speakers being female. Among the six international delegates, the Afghan delegate was female. These figures suggest that while Mongolian women enjoy a higher status than women in many other Asian countries, much remains to be done to incorporate women into Mongolia’s natural resource sector in a visible manner. For the workshop hosted in the Kyrgyz Republic in November 2016, 44% of the 61 participants were female, with 35% of speakers and panelists being women. b) Environment – The workshops promote enhanced environmental stewardship by increasing access to information and mobilizing knowledge among stakeholders and change-makers for improved governance practices that account for environmental safeguarding. In particular, peer-to-peer discussions focused on policy development were relevant to environmental protection as one of the pillars for sustainable development. c) Governance – The main objective of this workshop series is to strengthen the capacity of male and female government officials and other stakeholders of Mongolia and ICF target countries for informed decision-making to strengthen democracy through the sustainable development of the mining sector.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 87 For the workshop hosted in May 2016 in Mongolia, panels were comprised of Mongolian stakeholders representing government, industry (both state-owned and private) and civil society, each panel representing a unique point of view. Through the workshop program, knowledge was enhanced in the areas of enterprise ownership models, decision-making structures of large-scale resource projects, accountability/transparency, achieving international standards, and the impact of large resource projects on communities – all topics relevant to resource governance. 17 Mongolians participated in the workshop held in Bishkek, Kyrgyz Republic in November 2016, representing the Ministry of Mining and Heavy Industry of Mongolia, Erdenes Mongol, the Mongolian Mining Association, the Mongolian Mining Journal, Natural Resource Governance Institute of Mongolia and the Consul General to the Kyrgyz Republic. Of the 32 Kyrgyz delegates, 10 represented the government, 12 civil society and 10 industry. This representation of diverse stakeholders increases the capacity for multi-stakeholder dialogue and consensus building. The Kumtor study tour also provided a firsthand opportunity for 9 Mongolian delegates to witness and engage with a large-scale mine site. This mine site is dominating debates in the Mongolian media and parliament because of a recently proposed gold deposit development by Centerra Gold in Mongolia.

Lessons Learned  The term ‘sustainability’ needs to be adapted to national contexts. In Mongolia the term ‘sustainability’ has not gained much traction. While there is a Mongolian equivalent (togtvortoi), it is not commonly used. To successfully teach ‘sustainability’ therefore means adopting language which addresses Mongolian values and plays into their worldview. This allows buy-in and long-term impact.  Transferring funds to strategic partners is a challenge. Contracts are very complex when they reflect the Contribution Agreement, which can negatively impact CIRDI’s relationships with partners.  The short and long-term impacts of the June 2016 elections need to be taken into account in all planning. It is challenging to work with the Mongolian national government directly after an election. When organizing events, the time required to adjust to working with new government representatives needs to be accounted for within long-term planning. All national government and state-owned enterprise staff were affected by changes following the majority victory of the Mongolian People’s Party (MPP). This impacted our communication and the availability of parliament members and government officials for the workshop, and also required CIRDI to build new relationships. Despite this political uncertainty and the budget cuts that followed the election, CIRDI maintained the ICF’s commitment to the workshop series because of early planning. With the new government now in place, CIRDI will target young civil servants and other stakeholders in its next workshop. However, the 2016 election result provides more stability at the national and provincial levels of government. Unlike previous parliaments, consisting of fragile coalitions, the current majority government will provide policy and bureaucratic stability for the next four years.  Networking requires time and effort – the right team is required to sustain these networks. CIRDI has that team. Over a short period of time, CIRDI established strong networks including with all key stakeholders involved in mining governance in Mongolia. CIRDI’s internships were crucial to building these up – Mendee Jargalsaikhan and Bulgan Batdorj, internship recipients in 2015 and 2016 respectively, were able to build, enhance and maintain these networks during their research trips to Mongolia. Furthermore, the CIRDI team as a whole brought valuable pre-existing networks to CIRDI’s work, which has proven invaluable in advancing the project and creating strategic partnerships. Alumni from CIRDI’s 2015 Summer Institute also form an important part of this network. Given that CIRDI’s headquarters are based in Vancouver, this network is among the project’s greatest assets.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 88  Marrying international development and high level diplomatic work can be challenging under CIRDI’s Contribution Agreement, but with the right partners (e.g. Mongolian Ministry of Foreign Affairs) this is not a problem. International development work carried out within the framework of international diplomacy, particularly when involving high level Members of Parliament or Ministers, is challenging under the constraints of the Contribution Agreement. As a team, however, CIRDI and the ICF complement each other well, with the Ministry of Foreign Affairs of Mongolia ensuring the protocols and procedures for high level diplomacy are met.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 89 Educación para la transformacion del MAPE en el Ecuador/ Education for the Transformation of Artisanal and Small-scale Mining [2015-024B] [2015-024B] REPORTING PERIOD: April 2016 to March 2017 Project status: Approved operational Start date: April 1, 2016 End date: September 30, 2018 Country(s): Ecuador Total budget: $700,000 Actual spending to date: $155,667.97 Actual spending during reporting period: $155,667.97 Client/Beneficiary: Ecuador Ministry of Mines (client), beneficiaries include listed partners as well as miners and mining communities in Portovelo-Zaruma and Ponce Enriquez Role of local government or regional institution in the project: Government counterparts are key partners in implementation (bi-laterally implemented), and the beneficiaries of advisory services, research outcomes, and pilot training activities. Theme & CIRDI outcome(s):  1100 - Fiscal and Regulatory Governance (30%)  1200 – Integrated Resource Management (30%)  1300 – Livelihoods and Employment (40%) Core activities:  Deliver Advisory Services (40%)  Apply Research (30%)  Educate and Train (30%) Summary of immediate and intermediate outcomes for the reporting period3 The Ecuador ASM project was officially slotted for re-design at the very end of FY2015-16. Therefore a significant portion of 2016-17 was dedicated to project re-design. This included project development, and the negotiation and validation of the project logic model, the governance framework, PMF, implementation timelines and budget breakdown with project partners. Anecdotal evidence suggests that the process of project re-design:  deepened commitment of the national government to sustainable educational interventions for ASM;  increased inter-institutional cooperation among national and municipal government ministries;  strengthened connections of international academics with Ecuador’s ASM research network;  buoyed the National Institution of Mining, Metallurgical, Geological Research (INIGEMM) as a critical actor in addressing the challenges of ASM in Ecuador, both in terms of their mandate for research and in delivery of technical assistance. Keeping in mind the simultaneous process of project re-design, specific outcomes and outputs of FY2016-17 implementation are listed below: TransMAPE Intermediate Outcome 1100: Increased collection and use of ASGM data for decision-making regarding ASGM training interventions in Portovelo-Zaruma and Ponce Enriquez (southern Ecuador)  specific data-collection objectives and ultimate use defined  preliminary data collected, generating early data and informing design of final research methodology  research methodologies collaboratively developed and under discussion

3 Note that the Immediate and Intermediate Outcomes referenced in this project report refer to the TransMAPE’s project specific logic model and performance measurement framework.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 90 TransMAPE Immediate Outcome 1110: Increased access to information on the realities of ASGM operations and impacts in target areas achieved through analysis of the sector and development of tools and instruments  preliminary data collected, generating early data and informing design of final research methodology  technical research methodologies collaboratively developed and under discussion  technical report generated regarding geological hazards in target mining community (Zaruma) TransMAPE Immediate Outcome 1120: Increased understanding of the requirements for a locally appropriate ASGM training program  methodology for socio-economic stakeholder analysis established and reviewed in a participatory manner for execution in Q1 FY1718  review of materials on past training interventions completed TransMAPE Intermediate Outcome 1200: Improved integration into national objectives of an evidence-based training program for Southern Ecuador aimed toward building capacity in environmentally sound, safe, and economically efficient mining practices  deepened commitment of the national government to sustainable educational interventions for ASM  increased inter-institutional cooperation among national government ministries TransMAPE Immediate Outcome 1210: Increased ability to design and implement training curriculum for improved technical, environmental and social performance of Ecuador’s ASGM sector.  N/A at this stage TransMAPE Immediate Outcome 1220: Appropriate authorities have improved ability and commitment to implementing a locally appropriate and sustainable ASGM training program in target areas  deepened commitment of the national government to sustainable educational interventions for ASM  increased inter-institutional cooperation among national government ministries

Progress on integration of cross-cutting themes: a) Gender – Evidence has shown that increasing mechanization and formalization of ASGM activity corresponds with decreasing direct involvement of women miners. Although Southern Ecuador’s small- scale mining sector is relatively advanced in terms of mechanization and regulation compared to other ASM sectors globally, it remains a largely informal sector, with women playing a defined and distinct role. Within the stakeholder analysis and needs assessment, special considerations of vulnerable groups such as women and children are being specifically investigated and considered. Research for the determination of mercury alternatives for small-batch ore processing will make special consideration of subsistence women miners groups known as Jancheras. b) Environment – Improving environmental performance of Ecuador’s small-scale mining sector is a major component of project objectives. In particular, the project aims to enable and empower local and national level actors to manage mercury and other heavy metal pollution, through reduced (and where possible eliminated) mercury use, as well as improved tailings and waste management. Outputs that focus primarily on environmental issues include Hg-free gold processing research, tailings management research, pilot training on improved (“greener”) processing and tailings management, and the design of a long-term training program to address – amongst other things – environmental impacts of ASM in Ecuador. The Ecuadorian Ministry of the Environment is a project partner, sitting on the project’s Technical Working Group. c) Governance – This project is being implemented directly with the Ecuadorian Ministry of Mines, with the long-term objective of developing an Educational Model for the small-scale mining sector. Education is a critical entry point for the organization and formalization of the small-scale mining sector. The training program is being designed and implemented in such a way that it can serve as a tool for formalization for both governments and miners. The project is working to position itself such that the Government of Ecuador can carry recommendations and groundwork achieved through the project forward in the long term, with participation from other relevant Ministries under the Coordinating

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 91 Ministry of Strategic Sectors as well as the Coordinating Ministry of Human Talent. This project works at both the local and national level government levels (at the local level, the project partners with municipal governments and local mining associations). Lessons Learned: The following are lessons learned in the context of working with ministerial officials and artisanal and small-scale mining communities of Ecuador. Lesson Learned: Designing or re-designing a project is likely to take at least 4-6 months. All focus should be geared towards reaching official consensus before moving forward with any implementation. Implementation should be put on hold in order to rebuild relationships, redefine priorities in line with government needs, and build a strong foundation for co-implementation. Simultaneous re-design and implementation can undermine trust building and delay project timelines further. Due to institutional timelines, this project faced significant pressure to move from re-design to implementation as quickly as possible; this resulted in incomplete agreements during the early re-design which led to the Ministry of Mines (the client) requesting substantive changes to both the logic model and governance framework throughout the full 2016-17 fiscal year. This resulted in some implementation being carried out simultaneously with project re-design. These early implementation efforts at times compromised trust building as the “terms of engagement” for decision-making on implementation had not yet been defined. This tension was realized and remedied, but could have been avoided. At the close of this fiscal year, all documents have now been officially agreed upon and implementation is being carried out in a coordinated fashion. Lesson Learned: Official minutes and other official record keeping documents, with signature from all relevant parties, are critical; development of and careful management of these documents must be prioritized. The main point of contact at the Ministry of Mines changed twice during the 2016-17 fiscal year. Where there was good documentation (e.g. project outcomes and key partners), the transitions were smooth. However, where document management was not as strong (e.g. lack of official sign-off or approval for decisions), some work had to be duplicated. This led to some tension and slowed implementation timelines. This has now been remedied. Official minutes are taken at each meeting. Lesson Learned: A Governance Framework is an important tool for ensuring participatory project design and implementation and shared responsibility for project outcomes. It should be seen as the terms of engagement with the client and should be one of the first documents presented and finalized during project inception. This project generated and negotiated CIRDI’s first governance framework, which has been a very useful tool for engagement with the Ministry of Mines, and for creating a strong sense of buy-in and shared responsibility from the Ministry of Mines. It is recommended that a similar model be used for other bi-lateral projects. Lesson Learned: Potentially contentious items that must be very clearly defined in the Governance Framework and then be carried out as defined: decision making process (including official sign-off); budget management responsibilities; information sharing processes; document review and approval requirements; intellectual property. Budget management was a particularly sensitive topic. The steering committee now reviews spending on a quarterly basis. Lesson Learned: Tensions in priorities of the government versus the community should be expected, and mechanisms for building consensus between government partners and community partners should be developed early on. For future projects, it is recommended to include community representatives directly on the Steering Committee instead of only at the technical working group level. This will require additional negotiation with federal government partners, but the additional time will be worthwhile. The community representatives should be carefully chosen – either a diversity of representation or local (municipal) government is best, as the interests of representatives from associations are likely to be biased towards a specific stakeholder in the gold supply chain. Community partners typically have a stronger urgency for implementation; this project has only CIRDI and the Ministry of Mines on the Steering Committee, which leads to CIRDI acting as the community-government liaison. Placing municipal government representatives on the steering committee will go further to give voice to marginalized communities. Lesson Learned: ASGM stakeholders vary from the most vulnerable, artisanal groups, to wealthy and powerful concession holders. Those with the most power have high incentives to control information and findings, which creates a need for creativity and political sensitivity when making recommendations for improvement. There is

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 92 strong incentive to formalize and professionalize the ASGM sector in Ecuador, though certain exploitative relationships and power dynamics remain well entrenched. This is CIRDI’s reason for including both vulnerable groups as well as more powerful actors as targets for education. This is a requisite for truly transformative education.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 93 Transformation of Artisanal and Small-Scale Mining in Colombia [2015-024A] REPORTING PERIOD: April 1, 2016 to March 31, 2017 Project status: Inception Start date: September 2016 End date: March 31, 2018 Country(s): Colombia Total budget: $300,000 Actual spending to date: $58,254 Actual spending during reporting period: $58,254 Client/Beneficiary: Government of Colombia, Miners, and citizens of Choco region Role of local government or regional institution in the project: Implementing partner Theme & CIRDI outcome(s):  1100 - Fiscal and Regulatory Governance (40%)  1200 – Integrated Resource Management (30%)  1300 – Livelihoods and Employment (30%) Core activities:  Deliver Advisory Services (25%)  Apply Research (25%)  Educate and Train (25%)  Convene (25%) Summary of immediate and intermediate outcomes for the reporting period:

This fiscal year, the project remained in the design phase. Keeping this in mind, the project’s intermediate outcomes were to improve the ability of stakeholders within the extractive sector in target countries to align gender-responsiveness and environmental sustainability within governance, policy and regulatory frameworks, integrated resource management frameworks and policies that affect employment and local content. From an institutional perspective, it is expected that efforts to institute durable local partnerships and project infrastructure at the onset will ultimately support broader outcomes that ensure CIRDI itself is recognized as a global leading practitioner in the area of sustainability in the extractives sector.

The extractive industries are deeply intertwined with Colombia’s conflict narrative, with growing criticism and political concern over the impacts of illegal gold mining on environmental resources. The primary sustainability challenge being addressed by this project is that although mineral extraction represents one of the FARC’s primary sources of financial infrastructure, their substantial role in Colombia’s ASGM economy (83% of national gold production), remains poorly understood.

Given the complexity of Colombia’s political economy and fragile peace process underway in 2017, it is fundamental that CIRDI’s work in the country proceeds with sound intelligence on local conditions and the viability of domestic partnerships. This fiscal year, the project’s activities focused on conducting efficient scoping missions and developing strong institutional partnerships for project implementation.

The intermediate outcome driving activities this fiscal year were aimed at enhancing the capacity of in-country stakeholders to adapt or adopt policies, regulatory frameworks and revenue investment plans that are gender sensitive and environmentally sustainable and ensuring this capacity is reinforced through decision-useful, critical and creative skills. Towards these outcomes, specific outputs achieved for the fiscal year were as follows:

Meetings of governments and stakeholders to discuss extractive sector policies, regulatory frameworks and revenue investment convened

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 94 A scoping mission was undertaken in the second quarter to determine if environmental cooperation between ASGM stakeholders could be used as a platform and entry to engage dialogue on peaceful avenues for rural development. The project goal would be aimed at inclusive natural resource governance at the pilot scale in Colombia’s ASGM sector but also would be used to contribute to peace building by promoting trust and confidence between the national government and the FARC in demobilization zones. The team met with diverse stakeholders, and the FARC, the Geological Survey and the National Mining Agency (the latter being bodies of the Ministry of Mines) have all indicated their desire to participate in trust and confidence building between the FARC and the government on natural resource issues. A second scoping mission took place in the third quarter, during which time a project field location was chosen (Choco). Local mining associations and miners expressed interest in participating in this project, and an alliance was forged with UNIDO project in the same location. The Institute’s programs are delivered effectively  The last quarter saw a rewrite of the logic model, Performance Measurement Framework, and project narrative to be more relevant to the community and government alike, helping to ensure that the project will be aligned with CIRDI’s strategy and that project management procedures include risk mitigation and performance management.  Planning for the first project field visit to the project region has begun in coordination with the National Mining Agency, the Geological Survey of Colombia, and UNIDO. It is anticipated the inception trip will occur on June 2017. The Institute is sustainable  Cumulatively, the above activities have demonstrated CIRDI’s value proposition is recognized by clients and strategic partners. Progress on integration of cross-cutting themes: Progress has been made on all cross-cutting themes within the project design. a) Gender – Through meetings with a variety of organizations in Colombia on the topic of ASM in remote areas, a common and pressing concern emerged: the negative impact of boom/bust cycles in ASM on families and, in particular, on women. Hence, gender-responsive project design is a priority for CIRDI in order to ensure our interventions are strategic and impactful. For instance, due to the prevalent use of mercury to extract gold from whole and concentrated ore, women are particularly vulnerable to mercury poisoning. This suggests that maternal health and child welfare will be priorities for community engagement and project implementation. The project logic model includes outputs specifically aimed at better understanding gender issues in ASM in the pilot community, and working with women on addressing these issues. b) Environment – Due to the informal nature of the ASGM sector in Colombia, it is estimated that 97% of all small-scale gold mines operate without environmental permits. Miners lack access to secure land tenure, basic geologic data and formal markets, which deepen social inequalities and results in deforestation, biodiversity loss, chemical contamination and river siltation, endangering human and ecosystem health. A large portion of the project will be aimed at improved environmental practices and awareness raising on how reducing, and where feasible, eliminating mercury use in gold processing can increase profits and minimize environmental harm. Mercury use in the ASGM sector represents one of the greatest threats to watersheds in Colombia due to its potential for bioaccumulation across food chains, infinite persistence and extremely toxic nature. This project will aim to better understand this issue and promote training to reduce mercury emissions for economic prosperity and environmental conservation. The project logic model includes outputs specifically aimed at understanding environmental impacts of ASM in the pilot region. This information will be useful to both the Ministries of Environment and Mining of Colombia when evaluating ancestral rights of Afro-Colombian and indigenous populations for possible changes to the Forestry Reserve. As well, this project aims to reduce impact on the environment at the

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 95 exploration level by improving the capacity of miners to conduct exploration activities that have less negative impact on forestry resources. c) Governance – The project aims to bring together the government, the FARC and communities in a project aimed at understanding and transforming natural resource governance in the ASM sector. Peace agreements achieved through four years of negotiations between the Government and the FARC reflect a historic turning point, particularly for rural communities where the guerillas maintain strong social, economic and physical presence. While the FARC’s acceptance of democracy and the market economy represents enormous progress, negotiations continue and create new challenges for supporting peaceful FARC demobilization and transition to formalized economic activities. Ultimately, CIRD’s project activities aim to create an enabling environment for formalization through the education of miners and government on topics related to improved resource management and land-use planning at the pilot scale. In addition to addressing gender issues in the pilot area, this project will also address issues around improving women’s participation in the governance of gold panning associations as well as in community governance structures. Increased participation of women in governance structures, particularly in leadership roles, is believed to enhance the efficacy of efforts to formalize the sector in the pilot project location. Lessons Learned:  The void created by the departure of the Colombian Revolutionary Armed Forces (FARC), has opened up the region to possible incursion and new threats from other armed revolutionaries, former paramilitaries, and Narco traffickers. Close coordination on project activities with all relevant government departments, local associations, and former FARC combatants is key to the safety of the project team, and the success of the project. The project team will ensure that project activities are planned in conjunction with the National Mining Agency, the Geological Survey, local mining associations, and where appropriate, UNIDO.  While perhaps not a new lesson, the benefits of maintaining close contact with Canadian Embassy staff was reinforced during the final quarter of 2017 as they were able to provide the project team with up-to-date intelligence and advice on how to proceed. In general, the Colombian ASGM sector is extremely complex and requires careful coordination to ensure projects risks are identified, managed and mitigation efforts are carried out. Security and intelligence gathering are and will be essential throughout the project life- cycle.  Third party administered cooperative projects on Artisanal and Small Scale Gold Mining can provide excellent opportunities for trust and confidence building between formerly adversarial groups (i.e. Government of Colombia and the FARC).  Multidisciplinary project teams are more likely to come to out-of-the-box solutions to complex problems on Colombia’s informal gold sector. The project scoping mission in Q2/3, for example, involved a multidisciplinary team including Mike Ellerbeck (NRCAN interchange, Senior Program Manager), Kirsten Dales (Associate Director, International Operations) and expert consultants on Colombia’s Artisanal and Small-scale Gold Mining (ASGM) sector, the Canadian mining sector and international media. The key benefit to this diverse team was how it facilitated access to a variety of stakeholders.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 96 CIRDI Learning programs [2015-learning] REPORTING PERIOD: April 2016 to March 2017 Project status: Approved operational Start date: Initiative specific End date: March, 2019 Country(s): Global (CIRDI priority countries) Total budget: $700,000 Actual spending to date: $113,372 Actual spending during reporting period: $56,396 Client/Beneficiary: Developing country governments, developing country post-secondary institutions Role of local government or regional institution in the project: project specific, but includes co-organizer, sponsor and contributor Theme & CIRDI outcome(s):  1100 – Fiscal & regulatory governance – 33.33%  1200 – Integrated resource management – 33.33%  1300 – Livelihoods & employment – 33.33% Core activities:  Educate & train – 50%  Convene – 50% Summary of immediate and intermediate outcomes for the reporting period The intermediate outcomes targeted via CIRDI’s Learning Program for this fiscal year were to improve the ability of stakeholders within the extractive sector in target countries to align gender-responsiveness and environmental sustainability within governance, policy and regulatory frameworks (1100), integrated resource management frameworks (1200) and policies that affect employment and local content (1300). Towards this end, we focused on building CIRDI’s learning program infrastructure for the fiscal year. Our efforts included assessing the training needs of targeted developing-country governments (through reviews of existing surveys, discussions with diverse stakeholders and CIRDI’s alumnus network, etc.), planning course content and commencing course delivery with a training program on Mine Closure in Tanzania and Ghana. In addition, curriculum development and course planning are underway for training modules on two priority themes: Tailings & Environmental Impact Assessment, and Gender Issues in Artisanal & Small-scale Mining. These activities benefit from insights provided by our team of professional experts that include UBC faculty, local and global consultants and a director from Indigenous and Northern Affairs Canada. Furthermore, we convened an array of workshops, presentations and learning events related to CIRDI’s mandate. Additional details linking our activities and outputs with specific intermediate outcomes are elaborated below. Mine Closure Training Immediate Outcome 1110 – Improved ability of male and female targeted developing country government staff to innovate, adapt or adopt leading global practices for gender-responsive extractive sector policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices.  Both Tanzania and Ghana have relatively modern mine closure policies, but government officials lack the skills and capacity to implement these policies. To address this challenge, the mine closure training programs in Ghana and Tanzania focused on showcasing best practices and national policies on mine closure and reclamation primarily from an environmental and technical perspective.  The 5-day courses included presentations from technical experts and local guest speaker, exposure to domestic and international case studies, and practical engagement via a mine tour and workshop where participants developed a conceptual mine closure plan. The latter enabled government staff to be more effective in their review, inspection, analysis and decision-making regarding current and future mine closure policies and plans.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 97

Immediate Outcome 1120 – Increased number of men and women with the critical and creative skills to understand and implement gender-responsive extractive sector fiscal policies, regulatory frameworks and revenue investment plans that integrate environmental sustainability leading practices.  Total course participation: 46 in Ghana (6 women) and 37 in Tanzania (9 women). Participants were from the major government centres of Accra and Dar es Salaam, but 28 people came from regional and zonal offices.  CIRDI’s training programs ensure wide representation from different government ministries and staff from local and zonal offices. In particular, staff from the ministry of mines (or minerals commission) and environmental protection agency were able to share knowledge and experience and develop a shared understanding of leading mine closures policy elements.  In Ghana the training Included representation from the Minerals Commission, the Ministry of Lands and Natural Resources, Ministry of Science, Technology & Innovation, Environmental Protection Agency, Lands Commission and from local universities.  In Tanzania the training included key members of the National Mine Closure Committee and from the Ministry of Energy and Minerals, the Vice President’s Office- Division of Environment, Ministry of Water and Irrigation, National Environmental Management Council, Ministry of Natural Resources and Tourism and the National Land Use Planning Commission.  A key aspect of a modern sustainable mine closure regime is the financial assurance (bonding) mechanisms that ensure funds are available to cover the costs of mine closure. Participants in CIRDI’s training program were introduced to various financial models for calculating closure costs, as well as assurance strategies that balance environmental and social concerns with economic competiveness.

APEC Gender in ASM course Working alongside the US Department of State and the Artisanal Gold Council, CIRDI is developing a course on gender issues in artisanal and small-scale mining for the APEC Commission. The objective of the project is to develop a course curriculum focused on analyzing gender-differentiated impacts of Artisanal and Small-Scale Gold Mining (ASGM), identifying opportunities for reducing gender inequalities and advancing more equitable and active participation of women, girls, boys and men in the ASGM value chain. The course consists of three modules to be taught over the period of two days (approximately 15 contact hours) in classroom and/or online format.

To date, the methodology, learning outcomes, format and course layout have been finalized and approved by the APEC Commission. An international team of gender experts has been identified and recruited, consisting of lead gender expert Dr. Jennifer Hinton and gender specialists Mafalda Arias, Immaculate Javia, Claudia Paez and Bolormaa Purevjav. Four case studies focusing on the roles of women and girls in Peru, Papua New Guinea, Mongolia and Ecuador have been prepared and reviewed by the project team. A detailed course outline has been finalized, with modules currently in development.

Workshops and Presentations CIRDI convened a number of workshops, presentations and learning events during the year to both Canadian and international groups. CIRDI’s participation in these activities was geared towards fostering multi- stakeholder discussions on integrated resource management plans (1213) and initiatives affecting employment and local content (1313). Cumulatively, these efforts enhance CIRDI’s social capital by ensuring that the Institute's value proposition is recognized by potential clients and by strategic partners. (1432). Below is a summary of the key events:

Policy, regulatory and revenue investment frameworks (1113)  CIRDI Ideas Sharing Events (2 events) – Toronto (October 2016) and Vancouver (November 2016): CIRDI presentation and facilitation of discussion on international development approaches, needs and

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 98 ideas with members of the mining community (industry and associations). The aim of these events was to introduce stakeholders to CIRDI and to solicit their feedback and expertise on our work. Total number of participants = 35

Integrated resource management plans (1213)  Liu Centre Seminar Series (1 event) – UBC (March 2017) – Presentation by Nadja Kunz, Assistant Professor, NBK, UBC, Liu Scholar and CIRDI’s UBC academic director on Advancing Water Stewardship in Mining - From the Site to the Catchment). This seminar series will be held regularly with the aim of sharing CIRDI’s work and increasing engagement with the broader UBC community. Participants = 12 (50% women).  Prospectors and Developers Convention, Toronto (PDAC) (March 2017) – CIRDI-led workshop on “Understanding the Essential Building Blocks of Integrated Resource Management”. This half-day workshop examined the social and physical elements of integrated resources management through expert presentations, case studies, breakouts and a panel discussion. Participants included government personnel from developing countries, industry, civil society, associations and international development agencies. Participants = approximately 85 (50% women).

Initiatives affecting employment and local content (1313)  IGF Annual Meeting in Geneva (October 2016) – CIRDI panel presentation and discussion on Gender and Mining. The panel included Kirsten Dates (CIRDI), Gillian Davidson (World Economic Forum), and Bolormaa Purejav (Asia Foundation - Mongolia). The panel presented on the challenges and opportunities with gender inclusivity in mining by looking at the different mining scales from artisanal to large-scale. This workshop included an engaged discussion with the attendees who were dominantly from developing country governments, but also included representatives from civil society, the UN, World Bank and a number of international development organizations. Participants = approximately 125 (20% women).  Women in Mining BC – Lunch and Learn (February 2017) – CIRDI presentation on “Gender, Mining and Sustainable Development: Extracting Equality across Global Production Scales”. Presented by Kirsten Dales, CIRDI; and Bolormaa Purevjav, CIRDI Fellow. Participants = 50 (97% women).  Green College Justice Series, Green College – UBC (February 2017) – Presentation and discussion by Kirsten Dales, CIRDI; and Joe Fiorante, QC, Camp Fiorante, Matthews Mogerman LLP on “International Dimensions of Access to Justice: Human Rights and Extractive Industries”, Participants = approximately 40 (50% women).

CIRDI’s value proposition (1432)  Earth Science Department at SFU (September 2016) – CIRDI presentation and discussion on opportunities for collaboration with faculty and graduate students. Participants = approximately 30  Trudeau Foundation Roundtable at UBC (November 2016) – CIRDI presentation on its mandate and work, and discussion on the challenges of sustainability and international development related to mining with a group of Trudeau scholars. Participants = approximately 26 (60% women)

Progress on integration of cross-cutting themes: a) Gender – Gender inclusivity is incorporated into all our programs regardless of the focus of the training. While our Mine Closure Program was primarily focused on technical aspects of mine closure, social engagement and gender inclusivity were part of the curriculum and group exercises. Participants were presented with leading practices from jurisdictions like Canada, as well as guidance that large international mining companies use in their operations and projects. CIRDI will continue to include gender analysis within our future training programs such as upcoming modules on community engagement and environmental assessment.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 99 CIRDI is also developing a specific course on Gender and ASM that is designed for government, communities and industry. We expect to deliver this training in the next fiscal year. b) Environment – A key element of the training plan is to address the environmental aspects of mine development and operation. This a core element of the mine closure training that was completed this fiscal and it will continue to be a focus in other environmental training and community engagement courses for both the ASM and large-scale sectors that will be developed and delivered in the coming year. c) Governance – All the training programs will have a technical and governance aspects. The technical focus will ensure that that government personnel and other trainees understand the science (physical and social science) and engineering behind mining before considering aspects of policy development, regulation and governance. Workshops that lead trainees from current policies to global-leading practices will be a key to our learning programs. This is demonstrated in the mine closure training. From a curriculum development point of view, a team of experts and practitioners will oversee the development and delivery of material to ensure it meets the quality and focus on developing country governments.

Lessons Learned N/A

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 100 Scholars and Fellows Program [2013-003] NOTE: The scholars and fellows program is not a project in itself. It is a mechanism managed by the coalition partners and used to support other projects that deliver on the Institute’s expected outcomes. It also fits within CIRDI’s overall learning program [2015-Learning].

REPORTING PERIOD: 1 APRIL 2016 – MARCH 31, 2017 Project status: Approved operational Start date: March 2015 End date: March 2019 Country(s): Global – CIRDI priority countries Total budget: $700,000 Actual spending to date: $133,329.45 Actual spending during reporting period (FY16/17): $96,384.16 Client/Beneficiary: Project-specific Role of local government or regional institution in the project: Theme & CIRDI outcome(s):  1100 – Fiscal & regulatory governance (33.33%)  1200 – Integrated resource management (33.33%)  1300 – Livelihoods & employment (33.33%) Core activities:  Apply Research (50%)  Educate & train (50%) Summary of immediate and intermediate outcomes for the reporting period

Intermediate outcomes CIRDI’s Scholars and Fellows Program seeks to offer opportunities for qualified individuals to pursue projects that serve to improve fiscal and regulatory governance (1100), strengthen natural resource management plans (1200) and enhance employment pathways and local sustainability impacts (1300) within the extractives sector. The program not only builds the technical capacity of the researchers, but also the wider set of stakeholders to whom the project outputs provide advice, best-practices, case-studies and templates for diffusing gender- responsiveness and environmental sustainability throughout the extractives sector.

Immediate outcomes This fiscal year, the Scholars and Fellows program was reviewed as part of the CIRDI Learning Program development by the new Director of Partnerships and Learning. The review, in addition to a CIRDI Board decision to reduce the program’s allocated budget, led CIRDI to focus the program on shorter-term fellowships. The decision was also mindful that the current Contribution Agreement will conclude in two years, leaving limited time to implement graduate scholarships that typically run for longer time-periods.

However, implementation of the program has continued with new applications reviewed, scholarships, research internships and fellowships funded, and research and final reports submitted. Planning, logistical and coordination activities continued to take place (see below). CIRDI issued a call for fellowship applications in the fourth quarter, and strengthened communications and outreach with coalition institutions and partners to encourage applications. The applications were reviewed by the CIRDI Executive Committee but the decision on approving applications was put on hold pending an overall discussion on the direction of the fellowships program and allocation of the remaining funding for the program.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 101 Below, find a summary of awards funded through the program that support the achievement of key immediate outcomes:

Improved ability of government staff and stakeholders to innovate, adopt or adapt gender-responsive and environmentally sustainable policies, regulatory frameworks and revenue investment plans for the extractive sector  Aligermaa Bayarsaikhan from Mongolia was awarded a CIRDI graduate student scholarship for a Masters of Applied Science in Mining Engineering at the Norman B. Keevil Institute of Mining Engineering at UBC. Her research focuses on the effective management of the revenues generated from Mongolia’s extractive sector. Her scholarship began in September 2016. This academic year Aligermaa volunteered at three mining conferences and several networking events, and had several meetings with professors from the Keevil Institute (including her supervisor Professor Dirk Van Zyl) and industry related officials.  Bulgan Batdorj, a Mongolian Master of Applied Science student in Mining Engineering at UBC, completed a research internship on the role of local non-governmental organizations (NGO) in mining governance in Mongolia. Her research internship began in Q1 and ended in Q2. During her internship she conducted field research trips to three provinces and held meetings and interviews with local stakeholders, including government, community and mining company representatives. In Ulaanbataar she met with many representatives from the donor community including the World Bank, the German Development Agency (GIZ), the Swiss Development Cooperation and the Canadian Embassy to further inform her research.

Improved ability of government staff and stakeholders to innovate, adapt or adopt gender-responsive and environmentally sustainable natural resource management plans  Bernardo Ranieri, a Brazilian PhD Student in Mining Engineering at UBC, completed his research internship to Ecuador in July 2016. His research focused on mapping contamination pathways and assessing the influence/impact of mercury on foods of concern in the Puyango-Tumbes river basin in Ecuador and Peru. This research will contribute to informed decision-making by Governments of Ecuador and Peru to develop chemicals management and mitigation to deal with the transboundary pollution in this sensitive area.  Lucia Chavez La Torre, a student from Peru in the Masters of Applied Science Program at the Keevil Institute, was also approved for a CIRDI graduate scholarship. Her research focuses on how Peruvian mining companies can adopt an integrated and participatory approach to water use and management that has a net positive impact in the regions where they operate and in particular during closure and post-closure phases. Her scholarship began in Q3. This academic year, Lucia assisted her supervisor at the Keevil Institute (Professor Bern Klein) with the development of a new course on water management for the Peru Water Project and she will travel to Peru in June to assist in the course’s delivery.  Julius Odhiambo Opiyo, a community project leader in Artisanal and Small-Scale Gold Mining (ASGM) from Kenya, began and completed a three-month fellowship in Q3. The objective was to conduct research to enhance his knowledge and expertise in leading global practices in the measurement, management and monitoring of key environmental problems in ASGM in Sub-Saharan Africa (1212). During his fellowship Julius visited a mining equipment supplier in Bellingham, USA (Mt. Baker Mining and Metals) for a demonstration of mercury free gold processing equipment. Through the relationship developed from this meeting, Mt. Baker Mining and Metals donated (in-kind) a turnkey ore processing system to the Migori County Artisanal Mining Co-op (MICA). This processing system will help eliminate the use of mercury by processors in Migori County in Kenya. In addition, staff from Mt. Baker Mining and Metals visited Kenya in February 2017 to train processors in Migori on the system and to continue work with the Co-op in-kind.  Bolormaa Purevjav, a Program Director from the Asia Foundation, Mongolia, was approved for a four- month fellowship focusing on collaborative research on best practices in integrated environmental management and rehabilitation as a basis for local sustainable development and its relation to

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 102 sustainable economic development and environmental conservation in Mongolia. Her fellowship began in Q3 and is scheduled for completion in the first quarter of FY2016-17. Improved ability of government staff and stakeholders to innovate, adopt or adapt sustainable, gender- responsive extractive sector policies and frameworks that address employment and the local context  Camilo Mendez Parra from Colombia began a CIRDI graduate scholarship in September 2016 with the SFU Beedie School of Business Executive MBA program. His research focuses on systems change and transformation, inclusive business eco-systems, social entrepreneurship and innovation. He will participate in direct experiential learning through involvement in the Peru Co-laboratory project.

Progress on integration of cross-cutting themes a) Gender –– Gender is a consideration in the recruitment of participants, with an aim of equal representation of women and men amongst participants. CIRDI works to ensure that males and females are targeted equally in terms of outreach and that there are no barriers to participation for either gender. So far the program has included six males and five females among the awardees. A CIRDI fellow participated on a CIRDI panel on Gender and Mining at the IGF Conference in Geneva in October 2016, and also contributed to the development of case studies on gender and artisanal and small-scale mining for a course CIRDI is developing with APEC. b) Environment – While the implementation of the program does not have a direct impact on the environment, mitigating and managing environmental impacts of the extractive sector and sustainable development are encouraged as a focus of research for scholarships, fellowship and internships. For example, one research internship focused on chemicals management and mitigation to deal with the trans-boundary pollution from mineral processing in a sensitive river basin in Ecuador and Peru, and one fellowship focused on environmental protection practices related to ASGM in Kenya, and how to mitigate the effects of mercury and other pollutants related to gold mining and processing. The learnings from this fellowship are being implemented in a mining-affected community in rural Kenya with anticipated direct positive environmental impacts as a result. c) Governance – A key component of CIRDI’s mandate is a focus on integrating economics, community, environment and governance related to the extractive sectors and enhancing responsibility and transparency standards in the governance of the sector. Participating fellows may be drawn from government agencies in developing countries related to the extractive sector including Health, Environment, Mining and so forth, and with the program targeting individuals who are seeking to enhance their capacity to define laws, policies and standards related to the management of the extractive sector in their countries. Mining’s impact on the human rights of employees and surrounding communities is a serious and important issue that may be addressed by sponsorship of fellows from civil society and community organizations working to address these at the local level or who are lobbying for policy and legislative changes at provincial and federal levels. Lessons Learned  As it may be difficult for award recipients to identify a faculty host at CIRDI coalition institutions, a decision was made that CIRDI Central Staff may act as a sponsor/host.  Processing payments through UBC’s Payment and Procurement system takes some time, as does the process of setting up a Canadian bank account. For this reason future participants are to be notified in advance so they understand that they may need initial start-up funds to support themselves, before the CIRDI award funds may be made available. Alternatively, more effective methods to paying out award funds to awardees may need to be sought. In addition, difficulties have been encountered in finding suitable short-term accommodation for program participants in Vancouver that do not require a long term lease, and that can still allow a decent standard of living for the current monthly living allowance. This allowance is $1550 per month which is meant to cover all living expense including rent, food and transportation. This budget is very restrictive for program participants in Vancouver.  Due to visa issues, flexibility needs to be built into the program with an understanding that delays may

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 103 occur. A better understanding must also be gained of the different visa requirements and tax and employment related issues that fellows may encounter. CIRDI has worked with an immigration consultant at UBC to assist with complex immigration applications in order to bring program participants to Canada. This complexity resulted in a significant delay to the start of a fellowship which was originally planned to begin in the first quarter – it only began in the fourth quarter because of this delay. This also resulted in significant visa expenses which were higher than expected.  Site visits are an important aspect of fellowships and efforts will be made to incorporate them into future fellowships. The value of the relationships that can be built through in-person meetings was demonstrated through the relationship developed between fellow Julius Odhiambo Opiyo and Mt. Baker Mining and Metals. This relationship will have a direct positive impact on the wellbeing and livelihoods of Julius Odhiambo Opiyo’s community. Costs for field visits were not initially anticipated and were therefore not included in the fellowship award. However, an additional amount was approved to allow Mr. Opiyo to visit the company in the United States.  Scholarship recipients have found challenges in terms of written and academic English due to English being their second language. They have received support from a unit at UBC that provides support for academic ESL students as well from other students and professors.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 104 E) Program development tracker CIRDI Program Development – Current Opportunities

Proposal Submission Probability Internal Project Name Status Organization/Funder Brief project description $ Amount and Timeline Date / Close Date of success Tracking

Funding Project Submission Close Focus Country Title Name Amount Type Years Date Date Areas

CIRDI Focus Areas: 3. Transforming Artisanal and Small Scale Mining (ASM) 1. Strengthening Integrated Resource Management 5. Building Capacity through CIRDI Learning Programs 4. Engaging Communities and Sharing Benefits 2. Improving Public Sector Capacity and Governance Program for Clean and Sustainable Economic Growth Tracking - Competitive Announced Guatemala Promoting GAC Details to be forthcoming TBC TBC TBC 4 early stage tender soon Indigenous Women and Youth in Guatemala Survey and develop curriculum and Developing Training training modules for stakeholders within Materials to Reduce the ASGM sector that support efforts to Peru, Mercury Use and eliminate mercury use; Two training Philippines, APEC Mining Improve Gold Applied - modules will be developed: 1) business RFP posted 1-Nov- Indonesia, Task Force Other US$200K High 4 Recovery in pending planning to increase capacity of the Nov 2016 16 Papua New Support Fund Artisanal and Small ASGM sector to engage with the private Guinea Scale Gold Mining in sector and facilitate investment and 2) APEC Economies the role of women in small-scale gold mining. Develop Multi- ECLAC and Latin Request for partnership development of lateral Institute for Under Canadian America, Sole source a multi-lateral institute for natural TBC Medium 5 Natural Resource consideration Embassy in Caribbean resource governance with ECLAC Governance Chile The initial request focused on training related to mine closure. The request has now expanded for support to review and Canadian C$15,000 Support-workshop / provide recommendations on a new Embassy in provided by training mine Under draft mine closure policy. The Govt of Argentina Argentina & Other Embassy + 2017 Medium 5 closure and consideration Argentina has now asked CIRDI to set up Govt of RRM from environment a working group to review the policy and Argentina CIRDI provide recommendations based on international best practices and case studies.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 105 CANEF will finance technical assistance activities around strategic regional public Canadian Facility for 60 Under Competitive goods, integrated activities aimed at Regional the Extractives IDB: CANEF C$20 M month TBD TBD Medium 1, 2, 4, 5 consideration tender strengthening resource governance and Sector period governance and monitoring of the Facility. Beyond Extraction: Economic US$65,000 IDB funded total budget US$1,920,360M Opportunities in Tracking - Competitive will be IDB Peru IDB -Technical Cooperation. Approved by TBD TBD TBD Medium 1,2,5 Mining early stage tender Technical bank in July 27, 2016 Communities in Cooperation Peru Four areas under development- ASM development focusing on gold experience from Tanzania on value Tracking - Competitive addition; geo data mainly airborne Ethiopia ASM focused TA WB TBD TBD TBD TBD High 2,3,5 early stage tender geophysics (THIS IS A LOAN); biofuel development; environment management as cross cutting intervention. Direct request from UNEP, through the Global Mercury Partnership (GMP) for CIRDI to design, develop and deliver Formalization guidance materials for developing Guidance for UNEP Global country governments on formalization of Under Global Artisanal and Small- Mercury Sole source the ASGM sector in compliance with the US$50,000 2017 Jan-17 TBC High consideration scale Gold Mining Partnership Minamata Convection on Mercury. (ASGM) Materials requested include a decision- support system based on existing UNEP GMP global case studies and leading practice. Direct request from UNEP GMP for CIRDI Gender as a cross- to design, develop and deliver guidance cutting theme for UNEP Global Under materials for developing country Global National Action Mercury Sole source US$50,000 2017 Jan-17 TBD High 1, 2, 3, 5 consideration governments on Gender as a cross- Plans (NAPs) in the Partnership cutting theme for National Action Plans ASGM sector (NAPs). Project Objectives: (i) National capacity National Action Plan for evaluating ASGM mercury use and on Mercury in Funding 2017- impacts strengthened, and (ii) mercury Myanmar's Under agency: GEF US$200K - 2019 Myanmar Sole source reduction targets and a (iii) roadmap for Jan-17 TBD High 1, 2, 3, 5 Artisanal and Small- consideration Implementing: 300K (24 reductions identified, through the Scale Gold Mining UNEP months) development of a National Action Plan (ASGM) Sector for the ASGM sector.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 106 Project Objectives: National capacity for evaluating ASGM mercury use and National Action Plan Funding impacts strengthened, and mercury 2017- on Mercury in Papua New Under agency: GEF reduction targets and a roadmap for 2019 Papua New Sole source US$450,000 Jan-17 TBD High 1, 2, 3, 5 Guinea consideration Implementing: reductions identified, through the (24 Guinea's ASGM UNEP development of a National Action Plan months) sector for the Artisanal and Small-scale Gold Mining (ASGM) Sector The GEF funded program is designed to help artisanal gold miners eliminate the Global use of mercury in gold mining, and (Burkina reduce harmful risks to their health and Funding US$45M Faso, the environment the GEF has recently agency: GEF GEF + Colombia, approved the Global Opportunities for Implementing: $135.1 Guyana, Long-term Development (GOLD) in the Under UNEP, UNDP, million from 2017- TBC early Peru, Global Sole source ASGM Sector program, as part of the TBD High 1, 2, 3, 5 consideration UNIDO, government 2022 2017 Mongolia, GEF’s work in the Chemicals and Waste Conservation budget, IFIs, Indonesia, Focal Area. The project will be International and private The implemented over 5 years (2017-2022) (CI) companies. Philippines, by invitation CIRDI has been engaged to Kenya) assist in the inception phase, and provide technical assistance and advisory services Incremental advance of Conflict Study The Role of including Ghanaian case study; Government in Global (with UNDP Oslo quantitative analysis focused on mining 4 Enabling or Competitive US$ 62,819 Nov. 23, case study in Received Governance company ownership-models; literature months N/A High N/A Inhibiting Conflict tender US 2017 Ghana) Centre review focused on inter-relationships (2017) Associated with among government agencies and other Mining stakeholders. Promote inclusion and effective participation of civil society as one of the Latin main axes of development in LAC. Must America: develop a roadmap that establishes a Colombia, EOI Dec conceptual framework and analysis 9 Peru, Extractive Industries 10/2016, Under Competitive methodology that includes institutional, months Dominican Study and Mapping US$1M (+/-) proposal Medium 2 consideration tender legal/regulatory and admin elements, March Republic, of Actors 20 Jan propose a stakeholder mapping strategy, 2017 Mexico, 2017 assess relationship dynamics based on Argentina comparable indicators and recommends and Child policies and practices for improving relationships

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 107 F) Meeting and consultation tracker Note: “External” refers to opportunities that are outside of CIRDI’s current Contribution Agreement with GAC. This tracker reflects only includes CIRDI Central organizational level meetings or hosting of government delegations and does not include project meetings.

Date Purpose Meeting With Venue CIRDI participant(s)

CIRDI at Symposiums and Conferences

April 2016 Highlight CIRDI’s role, relationship-building and National Women’s Retreat on Victoria Cassie Doyle new partnerships Democracy Engaging in conversation about CIRDI Liu Debate Vancouver Cassie Doyle May 2016 - Discuss importance of meaningful CIM Convention: Vancouver Cassie Doyle stakeholder engagement - OECD Due Diligence Discuss challenges associated with transparency, lessons learned and next steps with various Guidance for Meaningful stakeholders from industry, government, NGOs Stakeholder Engagement in and communities the Extractive Sector Extractive Sector Multi-Stakeholder Dialogue Session Engage on leading practice in CBR and better Community-based Research (CBR) Vancouver Cassie Doyle inform our own strategies for indigenous workshop on Water, organized by engagement, ethics and participatory research Peter Wall Institute design June 2016 Discuss CIRDI’s current body of work and Roundtable Discussion on Natural Ottawa Cassie Doyle emerging strategy Resource Governance and Sustainable Development, organized by CIRDI. Discuss natural resource governance, provide an PWAIS Workshop Vancouver Cassie Doyle opinion on the discussions and highlight CIRDI’s role and perspective August Briefing on CIRDI activities Global Canada – Inaugural gathering of Montreal Cassie Doyle 2016 Global Canadian Leaders September Briefing on CIRDI activities Vancouver Roundtable, cross-section Vancouver Cassie Doyle 2016 of leaders in Vancouver

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 108 Engagement and partnership building BC Technical Committee on Penticton Rob Stevens Reclamation Conference October Briefing on CIRDI activities Ideas Exchange and Networking Event Toronto Cassie Doyle 2016 – strategic partners in Toronto Rob Stevens International Finance Institutions (IFIs) event, Representatives from the ERBD, WB, Vancouver Mairi Murchison hosted by Government of Canada IDB, AfDB, ADB and Vancouver Trade Elaine Pura Commission officers; GAC Trade representatives IGF Conference Bolormaa Purevjav, Environmental Geneva Rob Stevens Program Director, Mongolia, The Asia Kirsten Dales Foundation Gillian Davidson, Head of Mining and Metals, World Economic Forum AMEBC Luncheon Gavin Dirom, President and CEO AME Vancouver Rob Stevens BC Diane Nicolson, Chair, AME BC Kendra Johnston, Vice Chair, AME BC Scott Weston, Vice Chair, AME BC Rick Conte, Executive Vice-President, AME BC November CIRDI Outreach Event Strategic partners in Vancouver hosted Vancouver Cassie Doyle 2016 by Gavin Dirom, President and CEO, Rob Stevens AME BC at Goldcorp CIRDI Outreach Workshop Trudeau Foundation Conference Vancouver Cassie Doyle Scholars and Mentors Rob Stevens Mikhaela Meznaric June Francis CIRDI Outreach Event Government and industry partners Washington Cassie Doyle hosted by RESOLV, Stephen d’Esposito DC Mairi Murchison

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 109 December Global GOLD Child Event, Global Environmental Evelyn Swain, Environmental Specialist, Washington Kirsten Dales 2016 Facility The World Bank DC Anil Sookdeo, Chemicals and Waste Governments of: Burkina Faso, Colombia, Focal Area Coordinator and Senior Guyana, Indonesia, Mongolia, Kenya, Philippines, Environmental Specialist, GEF Peru Dr. Kevin Telmer, Executive Director, Artisinal Gold Council Kenneth Davis, Programme Officer, UNEP Chemicals Branch, Global Mercury Partnerships Ludovic Bernaudat, Programme Officer, UNEP Jerome Stucki, Industrial Development Officer, UNIDO Phillipe Scholtes, Managering Director, UNIDO January Head Table of the Finance Lunch, AMEBC David Gale, Vice Chair of AME Roundup Vancouver Cassie Doyle 2017 and Senior Geologist, Independence Rob Stevens Gold Corp. Terry MacGibbon, Executive Chairman – TMAC Resources Gavin C. Dirom, President and CEO, AME AMEBC Roundup Industry and public sector attendees Vancouver Rob Stevens Cassie Doyle CIRDI staff February Peru presentation 130 members of government, Lima Cassie Doyle 2017 academia, industry and civil society Andre Xavier Mining Indaba Conference Presented Country Case Study Session Cape Town Elaine Pura on Ethiopia SUMM Project Isabeau Vilandre

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 110 Together with Engineers without Borders Canada, launch and presentation of Local Procurement Regulation report (South Africa and Namibia Case Studies) March 2017 Annual Plenary Meeting of the Voluntary Invitation from Patricia Pena, Chair of Ottawa Cassie Doyle Principles on Security and Human Rights Initiative the Voluntary Principles Initiative for 2016-2017, Director General, Economic Development, GAC Innovation for Sustainability in the Mining Sector Invitation from the IGF Secretariat Toronto Cassie Doyle (IGF) Rob Stevens Marketers, Mining and Public Policy Dialogue, Invitation from Alan Young, Director, Toronto Cassie Doyle Working Group Scoping Meeting (IGF) Materials Efficiency Research Group Rob Stevens Understanding the Essential Building Blocks of Derek Thompson, Principal, Derek Toronto Cassie Doyle Integrated Resource Management, Sustainability Thompson and Associates Rob Stevens Panel led by CIRDI at PDAC Dirk van Zyl, Professor, NBK Mining Mairi Murchison Engineering, UBC Kirsten Dales José Luis A. Valverde, Superintendent, Olga Cherepanova Cerro Verde, Peru Susan Joyce, Principal, On Common Ground Consultants Colon Velásquez, Universidad Técnica de Machala, Ecuador International Mines Ministers Summit Invitation from Andrew Cheatle, Toronto Cassie Doyle Executive Director, PDAC Responsive meetings from/with GAC and or to requests from other organizations

April 2016 Briefing on CIRDI Peter Robb, BC Government, ADM Victoria Cassie Doyle Mines and Mineral Resources Division May 2016 Follow-Up to Institutional Assessment Elissa Golberg, ADM Partnerships for Ottawa by Cassie Doyle Development Innovation at GAC phone

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 111 June 2016 Follow-Up to Institutional Assessment Elissa Golberg, ADM Partnerships for Ottawa by Cassie Doyle Development Innovation at GAC phone CIRDI Institutional Development and Program Paul Ragusa, Extractives Specialist Vancouver Elaine Pura briefing and FY17 Workplan review Catherine Bernier, Senior Development Kirsten Dales Officer Briefing on CIRDI Julie Gelfand, Commissioner of the Ottawa Cassie Doyle Environment and Sustainable Development at the Office of the Auditor General of Canada Briefing on CIRDI Gerald Butts, Principal Secretary to the Ottawa Cassie Doyle Prime Minister of Canada Briefing on CIRDI Serge Dupont, Deputy Clerk of the Ottawa Cassie Doyle Privy Council Office Briefing on CIRDI Bob Hamilton, Deputy Minister at Ottawa Cassie Doyle Natural Resources Canada Briefing on CIRDI Malcolm Brown, Deputy Minister of Ottawa Cassie Doyle Public Safety Canada Update on CIRDI matters Patricia Peña, Director General – Ottawa Cassie Doyle, Moura Quayle Economic Development at GAC Update on CIRDI matters Elissa Golberg, ADM Partnerships for Ottawa Cassie Doyle, Moura Quayle Development Innovation at GAC Briefing on CIRDI Stephane Dion, Minister of Foreign Ottawa Cassie Doyle, Moura Quayle Affairs Discuss strategic needs of developing countries Paul Ragusa, Oil and Gas Specialist, Ottawa by Rob Stevens for mine training Natural Resources and Governance, phone Global Affairs Canada July 2016 Follow-up on Sustainability Report Mark Gawn, Director, Economic Ottawa by Cassie Doyle Growth, Governance and Innovation phone Elaine Pura (KGE) at GAC Kirsten Dales Patricia Pena, Director General at GAC

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 112 Briefing on CIRDI matters John Eby, Senior Policy Analyst, Natural Ottawa by Rob Stevens Resources & Governance (MES) phone Jeff Elzinga, Senior Policy Advisor, Natural Resources & Governance (MES) August Update on CIRDI matters Milan Duvnjak, Director, Auditor Ottawa by Cassie Doyle 2016 General of Canada, Office of the Audit phone Operations Sharon Clark, Principal, Auditor General of Canada, Office of the Commissioner of the Environment and Sustainable Development September Update GAC staff on current CIRDI projects, Mark Gawn, Director, Economic Ottawa (GAC) Elaine Pura 2016 plans, approach, priorities, structure Growth, Governance and Innovation Review In-kind Forecast Catherine Bernier, A/Deputy Director, Review CIRDI PMF Sustainable Economic Growth Partnerships Review CIRDI Towards Future Growth (aka sustainability) Plan and Scenarios Shannon Fougere, Performance Review CIRDI In-kind Methodology Management Advisor, Impacts & Analysis Understand GAC priorities and programs, while improving coordination and information flow Luc Vermette, Senior Financial between GAC and CIRDI across the themes and Management Advisor, Financial places CIRDI works. Management Advisory Services Sharon Peake, Director, Natural Resources & Governance (MES) Jeff Elzinga, Senior Policy Advisor, Natural Resources & Governance (MES) John Eby, Senior Policy Analyst, Natural Resources & Governance (MES) Emilie Revil, Deputy Director, Natural Resources Policy, Natural Resources & Governance (MES)

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 113 Bruce Steen, Deputy Director, Mongolia Development Division (OAP) Maroun Abou Fayssal, Senior Development Officer, Mongolia Development Division (OAP) Lara Bremner, Deputy Director, Ethiopia Development Division (WEF) Kelly Thompson, Senior Development Officer, Ethiopia Development Division (WEF) Nalan Yuksel, Deputy Director, Exceed Program October Briefing on CIRDI activities Nicolas Lloreda-Ricaurte, Ambassador Vancouver Cassie Doyle 2016 of Colombia to Canada Elaine Pura Kirsten Dales November Update on CIRDI matters Patricia Pena, Director General, Ottawa by Cassie Doyle 2016 Economic Development, GAC phone Briefing on CIRDI activities: Natural Resources Dr. Daniel Lebel, Director General of Vancouver Cassie Doyle Canada the Geological Survey of Canada, Mike Ellerbeck Natural Resources Canada Dr. Philip Hill, Director, Geological Survey of Canada, Pacific Division, National Resources Canada Steve Irwin, Sub-Division Head, Geological Survey of Canada, Pacific Division, Vancouver Sub-Division, Natural Resources Canada Update on CIRDI matters Global Affairs Canada at Canadian Addis Ababa Elaine Pura Embassy to Ethiopia Isabeau Vilandre Briefing on CIRDI activities Marie-Louise Thomassin, Senior Ottawa Rob Stevens International Development Officer,

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 114 December Partnerships for Development 2016 Innovation, GAC Update on CIRDI matters Kristine Couzens, Senior Policy Advisor, Ottawa by Rob Stevens Americas, GAC phone January Briefing on CIRDI matters Julia Bentley, Acting Director General, Ottawa Cassie Doyle 2017 South Asia, GAC Update on CIRDI matters Patricia Pena, Director General, Ottawa Cassie Doyle Economic Development, GAC Briefing on CIRDI matters Andre Frenette, Director General, Latin Ottawa Cassie Doyle America and Caribbean Bureau, GAC Update on CIRDI matters Elissa Golberg, Assistant Deputy Ottawa Cassie Doyle Minister, Partnerships for Development Innovation, GAC Update on CIRDI matters Peter Boehm, Deputy Minister of Ottawa Cassie Doyle International Development, GAC Briefing on CIRDI matters Stefania Trombetti, Director General, Vancouver Cassie Doyle Policy and Economics Branch, Minerals and Metals Sector, NRCan Update on CIRDI matters David Morrison, Assistant Deputy Ottawa via call Cassie Doyle Minister, Americas, GAC February Briefing on CIRDI matters Gwyneth Kutz, Ambassador of Canada Lima Cassie Doyle 2017 to Peru and Bolivia, GAC Andre Xavier David Parker, Adjunct Professor and Kristina Henriksson Executive in Residence, NBK Institute of June Francis Mining Engineering, UBC Bern Klein, Professor, NBK Institute of Mining Engineering, UBC Discuss collaborative opportunities Heather Cameron, High Commissioner Cape Town Elaine Pura to Ghana, Global Affairs Canada

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 115 March 2017 Update on CIRDI matters Louise-Marie Thomassin, Senior Vancouver Elaine Pura International Development Officer, Rob Stevens Strategic Planning, GAC Cassie Doyle CIRDI Team Engagement with Strategic Partners, Industry and other

April 2016 Discuss collaborative opportunities Tony Andrews, Principal at the Centre Oakville by Cassie Doyle for Responsible Mineral Development phone (RMD)

Briefing on CIRDI activities Prof. Nora Angeles, Associate Professor Vancouver Cassie Doyle at the School of Community and Regional Planning and the Women’s and Gender Studies Undergraduate Program at UBC Discuss collaborative opportunities Glenn Sigurdson, CSE Group Vancouver Cassie Doyle Discuss Mongolia Project Prof. Julian Dierkes, Associate Vancouver Cassie Doyle Professor at UBC’s Institute of Asian Research Discuss collaborative opportunities Susan Joyce, President at On Common Vancouver Cassie Doyle Ground Consultants Inc. Discuss collaborative opportunities Darren Schemmer, Principal at Vancouver Cassie Doyle Executive Insight Consulting and Board member at CESO Briefing on CIRDI activities Jamie Cassels, President of the Victoria Cassie Doyle University of Victoria Briefing on CIRDI activities Arlin Hackman, Member of CIRDI’s Victoria Cassie Doyle executive board Discuss collaborative opportunities Marcia Smith, Senior Vice President, Vancouver Cassie Doyle Sustainability and External Affairs at Teck Resources Ltd.

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 116 Discuss collaborative opportunities Karina Brino, President and CEO of the Vancouver Cassie Doyle Mining Association of British Columbia Discuss collaborative opportunities Gavin Dirom, President and CEO of Vancouver Cassie Doyle AME BC Discuss collaborative opportunities Brent Bergeron, Executive Vice Vancouver by Cassie Doyle President, Corporate Affairs and phone Sustainability at Goldcorp Inc. Share CIRDI experience and plans re training & Dan Frederick, University of Alberta Vancouver Elaine Pura Summer Institute, discuss collaborative David Parker opportunities

Discuss collaborative opportunities David Jansen, Environmental Vancouver Elaine Pura Cooperation for Peace Building, UNEP David Parker Andre Xavier Marie-Luise Ermisch May 2016 Discuss collaborative opportunities Ian Satchwell, Director, International Vancouver Cassie Doyle Mining for Development Centre Discuss collaborative opportunities Appollinaire Ihaza (Director of Vancouver Cassie Doyle International Services), Flavia Barandiaran (Evaluations Manager) and Janet Lambert (Head of Public Affairs) of CESO Discuss CIRDI Strategic Plan Jill Stirk, Expert in Foreign Policy and Vancouver Cassie Doyle Multilateral negotiations, Trudeau Foundation Plan Roundtable Discussion in June Margaret Biggs, School of Policy Ottawa by Cassie Doyle Studies, Queens University phone Discuss SUMM project Philip Baker, Ambassador of Canada in Ethiopia by Cassie Doyle Ethiopia phone

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 117 Discuss CIRDI Strategic Plan Cynthia Callison, Founding partner, Vancouver Cassie Doyle Callison & Hanna, Indigenous Advocate and member of CIRDI’s advisory council June 2016 Discuss collaborative opportunities Cynthia Callison, Founding Partner, Vancouver CIRDI Staff Callison & Hanna, Indigenous Advocate Briefing on CIRDI activities Prof. Dirk Van Zyl, Mining Professor at Vancouver Cassie Doyle UBC Discuss collaborative opportunities Doug Horswill, Chair of the Mining Vancouver Cassie Doyle Association of Canada Discuss collaborative opportunities Alan Young, Chair of the Board of the Vancouver Cassie Doyle Institute for the Study of International Development (IISD) Discuss collaborative opportunities Emily Greenspan, Senior Policy Advisor Vancouver Cassie Doyle at Oxfam’s Extractive Industries Team Discuss collaborative opportunities David Runnalls, Board member of Ottawa Cassie Doyle Pembina Institute Briefing on CIRDI activities Gillian Barth, President & CEO at CARE Ottawa Cassie Doyle Canada Discuss collaborative opportunities Ben Chalmers, Vice President, Ottawa Cassie Doyle Sustainable Development at Mining Association Canada Discuss CIRDI matters Jane Dennison, Mercury Program Vancouver by Rob Stevens Officer at U.S. Department of State phone Kirsten Dales July 2016 Discuss collaborative opportunities Andrew Cheatle, Executive Director, Toronto by Cassie Doyle PDAC phone Briefing to CIRDI matters Mona Forester, Chair of Women in Vancouver Rob Stevens Mining British Columbia Briefing on CIRDI matters Javier Garcia Fernandez, Infrastructure New York by Rob Stevens and energy Sector, Inter-American phone Mairi Murchison Development Bank

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 118 Elaine Pura Discuss collaborative opportunities Andrew Cheatle, Executive Director, Toronto by Cassie Doyle PDAC phone Rob Stevens Anne Belanger, Coordinator for Gilian Dusting Geoscience and Sustainability Kirsten Dales Programs, PDAC Nadim Kara, Senior Program Director, PDAC Briefing on CIRDI activities Prof. Dirk Van Zyl, Mining Professor at Vancouver Cassie Doyle UBC Discuss collaborative opportunities Greg Radford, Director of Ottawa by Rob Stevens Intergovernmental Forum on Mining, phone Kirsten Dales Minerals, Metals and Sustainable Development Briefing on CIRDI activities Peter Caulfield, journalist, Canadian Vancouver Cassie Doyle Mining and Energy Update on CIRDI matters Tracey Cooper, Executive Director, Johannesburg Elaine Pura Mining Dialogues 360 via web Discuss collaborative opportunities Jennifer Peng, Senior Associate Vancouver Rob Stevens Director, Faculty of Arts Development Cassie Doyle and Alumni Engagement, UBC Victoria Auston, Senior Director, Development, Constituency Based Fundraising, UBC Discussion collaborative opportunities Gavin Dirom, President & CEO, Vancouver Rob Stevens Association for Mineral Exploration BC August Briefing on CIRDI activities Ali Dastmalchian, Dean, Beadie School Vancouver Cassie Doyle 2016 of Business, SFU Discuss collaborative opportunities Doug Horswill, Former Chair of the Vancouver CIRDI team Mining Association of Canada Briefing on CIRDI activities Janeen Sawatzky, BCCIC Vancouver Rob Stevens

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 119 Discuss collaborative opportunities Prof. Wade Davis, Anthropology, UBC Vancouver Cassie Doyle Kirsten Dales Briefing on CIRDI activities Brenda Kenny, President and CEO of Vancouver Cassie Doyle the Canadian Energy Pipeline Association (CEPA) Feedback on CIRDI Strategic Plan Andrew Cheatle, Executive Director, Toronto by Rob Stevens PDAC phone Discuss collaborative opportunities Mona Forester, Chair of Women in Vancouver CIRDI Team Mining British Columbia Discuss CIRDI outreach event Mark Edwards, Vice President, Vancouver Rob Stevens Community and Government Relations, Teck Discuss collaborative opportunities Greg Radford, Director of the Vancouver Cassie Doyle Intergovernmental Forum on Mining, Mairi Murchison Minerals, Metals and Sustainable Elaine Pura Development (IGF), IISD Kirsten Dales Rob Stevens Briefing on CIRDI activities Larry Mireku, Geologists from Ghana Vancouver Rob Stevens Discuss collaborative opportunities Victoria Auston, Senior Director, Vancouver Cassie Doyle Development, Constituency Based Fundraising, UBC Discuss collaborative opportunities Prof. Dirk Van Zyl, Mining Professor at Vancouver Rob Stevens UBC Discuss collaborative opportunities Sofi Halling, Policy Analyst, Extractive New York, Rob Stevens Industries, Poverty practice at UNDP Oslo, by Kirsten Dales phone Endre Stiansen, Senior Research and Marie-Luise Ermisch Policy Advisor, Oslo Governance Centre, UNDP Casper Sonesson, Policy Advisor, Extractive Industries at UNDP

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 120 Feedback on CIRDI Strategic Plan Gavin Dirom, President & CEO, Vancouver Rob Stevens Association for Mineral Exploration BC Discuss collaborative opportunities Robert Fry, Canadian Ambassador to Buenos Ares Cassie Doyle the Argentine Republic by phone Briefing on CIRDI activities Prof. Dorothy Nason, Department of Vancouver Rob Stevens English, UBC Discuss collaborative opportunities Prof. Kerry Renwick, Department of Vancouver Rob Stevens Curriculum & Pedagogy, UBC Mikhaela Meznaric Discuss collaborative opportunities Martin Kirk, Director ORS & SPARC, Vancouver Cassie Doyle UBC Rob Stevens Dawn Whitworth, Senior Partnerships Manager, SPARC, UBC Helene Dragatsi, SSH Research Development Officer, SPARC, UBC Discuss collaborative opportunities Jane Dennison, Mercury Program Vancouver Cassie Doyle Officer at U.S. Department of State Kirsten Dales Elaine Pura Briefing on CIRDI activities Jeff Geipel, Mining Shared Value Vancouver Rob Stevens, Elaine Pura, Cecilia Venture Leader at Engineers Without Gruber Borders Emily Nickerson, President, Guelph University Chapter, Engineers Without Borders Discuss collaborative opportunities Phil Hil, Director, Geological Survey of Vancouver Cassie Doyle Canada, BC Office September Briefing on CIRDI activities Joy Johnson, Vice-President, Research, Vancouver Cassie Doyle 2016 SFU Discuss collaborative opportunities David Jansen, Head of Environmental Vancouver Cassie Doyle Cooperation for Peacebuilding, UNEP Elaine Pura

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 121 Discuss collaborative opportunities Tom Butler, President and CEO, Vancouver Cassie Doyle International Council on Mining & Rob Stevens Metals Doug Horswil, Former Senior VP, Sustainability, Teck Mark Edwards, Vice President, Community and Government Relations, Teck Discuss collaborative opportunities Philip Jennings, Associate Deputy Vancouver Cassie Doyle Minister, Natural Resources Canada Update on CIRDI matters Mark Edwards, Vice President, Vancouver Cassie Doyle Community and Government Relations, Rob Stevens Teck Discuss collaborative opportunities Ross Beaty, Chairman, Pan American Vancouver Cassie Doyle Silver Corporation Briefing on CIRDI matters Jane Dennison, Mercury Program Vancouver Rob Stevens Officer at U.S. Department of State Kirsten Dales Briefing on CIRDI matters Prof. Linc Kesler, Director of the UBC Vancouver Cassie Doyle First Nations House of Learning, UBC Discuss collaborative opportunities Prof. Ingrid Stefanovic, Dean of the Burnaby Cassie Doyle Faculty of Environment, SFU Discuss collaborative opportunities Prof. Vanessa Andreotti, Department Vancouver Rob Stevens of Educational Studies, UBC Mikhaela Meznaric Gerald Fallon, Department of Educational Studies, UBC Discuss collaborative opportunities Jocelyn Fraser, Adjunct Professor, Vancouver Cassie Doyle Sauder School of Business, UBC Presentation to faculty and students SFU Department of Earth Science Burnaby Rob Stevens

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 122 Discuss collaborative opportunities Brent Bergeron, Executive Vice By phone Cassie Doyle President, Corporate Affairs and Sustainability, Goldcorp Discuss collaborative opportunities Nadim Kara, Senior Program Director, Toronto by Rob Stevens PDAC Phone Briefing on CIRDI activities Prof. Tom Gunton, Director of Burnaby Cassie Doyle Resource and Environmental Planning, SFU Update on CIRDI matters Donald W. Campbell, International Co- Vancouver Cassie Doyle Chair, Pacific Economic Cooperation Council Update on CIRDI matters Prof. Roger Beckie, Department Head, Vancouver Rob Stevens UBC Earth, Ocean and Atmospheric Sciences Department, UBC Briefing on CIRDI activities Saara Romu, Senior Project Officer, Seattle Cassie Doyle Global Development, Bill & Melinda Gates Foundation Michael Parham, Board Member, Bullitt Foundation Dennis Hayes, President and CEO, Bullitt Foundation Briefing on CIRDI activities to team Mining Association of Canada Toronto by Rob Stevens International Social Responsibility phone Centre Briefing on CIRDI activities Margaret Catley-Carlson, Former Vancouver Cassie Doyle President of the Canadian International Development Agency and Chair, Global Water Partnership October Discuss collaborative opportunities Peter Sinclair, Chief Sustainability Toronto Cassie Doyle 2016 Officer, Barrick Rob Stevens

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 123 Discuss collaborative opportunities Anne Belanger, Coordinator, Toronto Cassie Doyle Geoscience and Sustainability Rob Stevens Programs, PDAC Discuss collaborative opportunities Aaron Steeghs, Director, Health, Safety Toronto Cassie Doyle and Sustainable Development at Rob Stevens Yamana Discuss collaborative opportunities Mir Ahmad Javid Sadat, Deputy Vancouver Elaine Pura Minister for Policy and Programs, Ministry of Mines and Petroleum, Afghanistan Discuss collaborative opportunities David Clarry, Vice President, Corporate Toronto Cassie Doyle Social Responsibility, Hudbay Minerals Rob Stevens Briefing on CIRDI activities John Thompson, Chair, Resources for Turkey by Cassie Doyle Future Generations 2018 phone Rob Stevens Update on CIRDI matters Jen Schaeffers, CEO, Minerva Vancouver Cassie Doyle Foundation Discuss collaborative opportunities Dr. Kevin Hanna, Associate Professor, Vancouver Rob Stevens Geography Director, Centre for Chris Bastian Environmental Assessment Research, UBC Discuss collaborative opportunities Louis Guay, Principal, Louis Guay and Ottawa by Cassie Doyle Associates phone Briefing on CIRDI Activities Helene Dragatsi, SSH Research Vancouver Rob Stevens Development Officer, SPARC Briefing on CIRDI Activities Kip Jeffrey, Professor, University of Vancouver Cassie Doyle Exeter Briefing on CIRDI Activities Linda Wrong, Corporate Director, Vancouver Rob Stevens Regulatory Affairs, Lundin Mining Corporation

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 124 Discuss collaborative opportunities Susan Joyce, Principal, On Common Vancouver Cassie Doyle Ground, CIRDI Advisory Council member Discuss collaborative opportunities Simon Jiminez, Senior Director, Multiple Cassie Doyle Corporate Responsibility, Barrick locations by David Jensen, Head of Environmental phone Cooperation for Peacebuilding, UNEP Discuss collaborative opportunities Kenneth Davis, Program Officer, Geneva Rob Stevens Technology and Metals Team, UNEP Kirsten Dales Discuss collaborative opportunities Lucia Hernandez, Project Coordinator, Geneva Rob Stevens Public-Private Partnerships Division, ICRC Discuss collaborative opportunities Jeff Elzinga, Senior Policy Advisor, Geneva Rob Stevens Economic Development, GAC Sharon Peake, Director, Economic Development, GAC Discuss collaborative opportunities Théophile Ndougsa Mbarga, Director of Geneva Rob Stevens Geology, Ministry of Mines, Industry and Technological Development, Cameroon Discuss collaborative opportunities Gideon Kasege, Tanzanian Ministry of Geneva Rob Stevens Energy and Minerals Monica Augustino, Principal Environmental Scientist, Tanzania Minerals Audit Agency Discuss collaborative opportunities Glenn Gemerts, Board Member, Geneva Rob Stevens Paradise Oil Company N.V. Discuss collaborative opportunities Florencia Mazzinghi Geneva Rob Stevens Discuss collaborative opportunities Toni Aubynn, Chief Executive Officer, Geneva Rob Stevens Ghana Minerals Commission

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 125 Jerry Ahadjie, Assistant Manager, Sectoral Policy and Planning, Minerals Commission Ghana Discuss collaborative opportunities Alexander Heresme Geneva Rob Stevens Discuss collaborative opportunities Yunusa Mohammed Geneva Rob Stevens Discuss collaborative opportunities George Banda Geneva Rob Stevens Ezekiah Chikambwe, Senior Geologist at Geological Survey Zambia Discuss collaborative opportunities Casper Sonesson, Policy Advisor, Geneva Rob Stevens Extractive Industry, UNDP Discuss collaborative opportunities Shauna Sylvester, Professor, Vancouver Cassie Doyle Professional Practice, SFU Centre for Dialogue Discuss collaborative opportunities Ministry of Mines, Petroleum and Addis Ababa Elaine Pura Natural Gas (MOMPNG) Isabeau Vilandre Discuss collaborative opportunities MEDA-Ethiopia Addis Ababa Elaine Pura Isabeau Vilandre Discuss collaborative opportunities Zafar Adeel, Executive Director, Pacific Burnaby Cassie Doyle Water Research Centre, SFU Discuss collaborative opportunities Joanna Ashworth, Director of Burnaby Cassie Doyle Professional Programs and Partnerships & Faculty Teaching Fellow, Faculty of Environment, SFU November Update on CIRDI matters Judy Cavanagh, Principal, The Vancouver Cassie Doyle 2016 Cavanagh Group, Director, Oxfam Canada Discuss collaborative opportunities Katja Freitag, Simon Houding, EDUMine Vancouver Rob Stevens meeting, Infomine Briefing on CIRDI Activities Joanne Lebert, Executive Director, Vancouver Cassie Doyle Partnership Africa Canada

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 126 Rob Stevens Mikhaela Meznaric Kirsten Dales Mairi Murchison Briefing on CIRDI Activities Philip Steenkamp, Vice-President, Vancouver Cassie Doyle External Relations, University of British Columbia Briefing on CIRDI Activities Gary Bull, Head of Department, Forest Vancouver Cassie Doyle Resources Management, University of Elaine Pura British Columbia Discuss collaborative opportunities Derek Thompson, Principal, Derek Vancouver Cassie Doyle Thompson and Associates Discuss collaborative opportunities Bill Price, CanmetMINING, NRCan Call Rob Stevens Cassie Doyle Discuss collaborative opportunities Gavin Hilson, Professor, University of Call Rob Stevens Surrey Discuss collaborative opportunities Roger Gunson, Executive Manager, Call Rob Stevens Regulatory Operations, Mineral Resources Authority Briefing on CIRDI activities Jelizaveta Matvejeva Call Rob Stevens Discuss collaborative opportunities Silas Olang, NRGI Call Rob Stevens Angus Morrison-Saunders, Associate Professor, Environmental Assessment, Murdoch University Briefing on CIRDI activities Greg Radford, Director, IGF, IISD Ottawa Rob Stevens Update on CIRDI matters Pierre Gratton, CEO, Mining Ottawa Rob Stevens Association of Canada Ben Chalmers, Vice President, Sustainable Development, MAC

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 127 Briefing on CIRDI activities Michael van Aanhout, Chairman at Ottawa Rob Stevens Stratos Inc. Briefing on CIRDI Activities Radha Curpen, Managing Partner, Vancouver Cassie Doyle Bennett Jones Discuss collaborative opportunities Eva Busza, Vice-President, Research Vancouver Kirsten Dales and Programs, Asia Pacific Foundation Cassie Doyle of Canada Mairi Murchison Update on CIRDI matters Peter Boehm, Deputy Minister of Ottawa by Cassie Doyle International Trade and Development, phone Foreign Affairs Canada Update on CIRDI matters Chris Hogan, Executive Director for Washington Cassie Doyle Canada, Ireland, Caribbean, Belize and DC Guyana, World Bank Group Update on CIRDI matters Jane Dennison, Mercury Program Washington Cassie Doyle Officer, ASGM, US State Department DC Mairi Murchison Rowena Watson, Chemicals Division Chief, ASGM, US State Department Discuss collaborative opportunities Guillermo Rishchynski, Executive Washington Cassie Doyle Director, Inter-American Development DC Mairi Murchison Bank (IADB) Briefing on CIRDI Activities Amal-Lee Amin, Division Chief, Climate Washington Cassie Doyle Change and Sustainability Division, DC Mairi Murchison IADB Martin Walter, Consultant, Canadian Extractives Sector Facility, IADB Miguel Aldaz, Office of Outreach and Partnerships, IADB Javier Garcia Fernandez, Energy Division, IADB Discuss collaborative opportunities Naoko Ishii, CEO, Global Environmental Washington Cassie Doyle Facility DC Mairi Murchison

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 128 Anil Bruce Sookdeo, Senior Environmental Specialist Discuss collaborative opportunities Veronica Nyhan Jones, IFC Advisory Washington Cassie Doyle Services, Infrastructure & Natural DC Mairi Murchison Resources Discuss collaborative opportunities David Dollar, Senior Fellow, Brookings Washington Cassie Doyle DC Mairi Murchison Discuss collaborative opportunities Mark Robinson, Global Director, Washington Cassie Doyle Governance, World Resources Institute DC Mairi Murchison December Discuss collaborative opportunities Daniel Kaufmann, CEO and President, New York Cassie Doyle 2016 Natural Resource Governance Institute Discuss collaborative opportunities Lisa Sachs, Director of the Columbia New York Cassie Doyle Center on Sustainable Investment Briefing on CIRDI activities Kirsten Hund, Natural Resource Washington Mairi Murchison Extraction & Sustainable Development DC Specialist Briefing on CIRDI activities Daniele la Porta, Senior Mining Washington Mairi Murchison Specialist DC Discuss collaborative opportunities Marc-André Blanchard, Canadian New York Cassie Doyle Ambassador to the United Nations Discuss collaborative opportunities Gwyneth Kunz, Canadian Ambassador Lima by phone Cassie Doyle to Peru Andre Xavier Discuss collaborative opportunities Darren Schemmer, Board Member, Vancouver Cassie Doyle CESO Elaine Pura Discuss collaborative opportunities Santiago Dondo, Natural Resources and Argentina by Rob Stevens Public Policy Specialist, Argentina phone Ana Garasino, the Embassy of Canada to Argentina

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 129 Discuss collaborative opportunities Bjorn Weeks, Principal, Golder Call Rob Stevens Associates January Discuss collaborative opportunities Moura Quayle, Director, Liu Institute Vancouver Cassie Doyle 2017 for Global Studies, UBC Ahmad Zahir Faqiri, Senior Fellow, Institute of Asian Research, UBC Yves Tiberghien, Director, Institute of Asian Research, UBC Discuss collaborative opportunities Chris Cormier, Vice President, Vancouver Rob Stevens Reclamation and Closure, Goldcorp Inc. Discuss collaborative opportunities John Thomson, Chair, Resources for Vancouver Rob Stevens Future Generations (RFG) 2018 Ollie Bonham, Program Committee, RFG 2018 Stephen Morison, Theme Lead, RFG 2018 Discuss collaborative opportunities Shauna Sylvester, Director, Centre for Vancouver Cassie Doyle Dialogue, SFU Update on CIRDI matters Michael Nahir, Manager of Vancouver Rob Stevens Engineering, Major Remediation Projects and Indian and Northern Affairs Canada Michael van Aanhout, Chairman, Stratos Inc. Update on CIRDI matters Ben Chalmers, Vice President, Ottawa Cassie Doyle Sustainable Development, MAC Pierre Gratton, President and CEO, MAC Discuss collaborative opportunities Matthew Bliss, Deputy Director, Call Rob Stevens Programs, IGF

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 130 Discuss collaborative opportunities Gayle Turner, Vice-President, Gender Call Rob Stevens and Social Development Specialist, Mairi Murchison Agriteam Bob Francis, President and CEO, Agriteam Discuss collaborative opportunities Stephen McGurk, Vice President, Ottawa Cassie Doyle Program and Partnerships Branch, IDRC Update on CIRDI matters Bjorn Weeks, Principal, Senior Geo- Vancouver Rob Stevens Environmental Engineer, Golder Associates Discuss collaborative opportunities Carolina Del Valle, Mining and Call Rob Stevens Environment Manager, Ministry of Mining and Mining Policy, Argentina Briefing on CIRDI matters Grace Wong, Senior Advisor Vancouver Cassie Doyle International, Office of the Provost and VP Academic Office of the Vice- President, Academic, UBC Discuss collaborative opportunities David Jensen, Head, Environmental Vancouver Cassie Doyle Peacebuilding Programme, UNEP Andre Xavier February Discuss collaborative opportunities Alan Young, Chair of the Board, Ottawa by Cassie Doyle 2017 International Institute for Sustainable phone Development Discuss collaborative opportunities Extractives Hub (DFID) Cape Town Elaine Pura Joanne Jones, Team Leader Isabeau Vilandre Discuss collaborative opportunities Milena McWatt, Program manager, Call Rob Stevens University of Alberta International Mairi Murchison Bob Korzeniowski, International Partnership Development and Management, UBC

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 131 Discuss collaborative opportunities Carlos Castro, Director, Corporate Lima Cassie Doyle Affairs and Social Responsibility, Andre Xavier Hudbay Fernando Montero, Manager, Corporate Affairs and Social Responsibility, Hudbay David Parker, Adjunct Professor and Executive in Residence, NBK Institute of Mining Engineering, UBC Bern Klein, Professor, NBK Institute of Mining Engineering, UBC Discuss collaborative opportunities Karla Dias Clarke, Operations Officer, Lima Cassie Doyle IFC Andre Xavier David Parker, Adjunct Professor and Executive in Residence, NBK Institute of Mining Engineering, UBC Bern Klein, Professor, NBK Institute of Mining Engineering, UBC Update on CIRDI matters Yuri Pinto, General Secretary, ANA Lima Cassie Doyle Guillermo Avanzini, Director, Andre Xavier International Collaboration, ANA David Parker, Adjunct Professor and Executive in Residence, NBK Institute of Mining Engineering, UBC Bern Klein, Professor, NBK Institute of Mining Engineering, UBC Update on CIRDI matters Christopher Yomans, Country Director, Lima Cassie Doyle FCM Andre Xavier David Parker, Adjunct Professor and Executive in Residence, NBK Institute of Mining Engineering, UBC Bern Klein, Professor, NBK Institute of Mining Engineering, UBC

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 132 Discuss collaborative opportunities Jose Chang, Senior Community Lima Cassie Doyle Relations Manager, Barrick Andre Xavier Mirko Chang, Pierina Mine Community Relations Manager, Barrick David Parker, Adjunct Professor and Executive in Residence, NBK Institute of Mining Engineering, UBC Bern Klein, Professor, NBK Institute of Mining Engineering, UBC Discuss collaborative opportunities Anand Harrilall, Development Officer, Call Rob Stevens High Commission of Canada in Guyana Briefing on CIRDI matters Hevina Dashwood, Associate Professor, Call Rob Stevens Political Science, Brock University Update on CIRDI matters Suzette Mcfaul, Founding Director, SEF Vancouver Rob Stevens Canada Discuss collaborative opportunities Peter Quinn, Principal Geological Vancouver Cassie Doyle Engineer, BGC Engineering Mikhaela Meznaric Joan Roca, Intermediate Engineer, BGC Engineering Stephanie Hunter, Geotechnical Engineer, BGC Engineering Discuss collaborative opportunities Cora Devoy, Environmental Services, Call Rob Stevens Lundin Mining Corporation

Discuss collaborative opportunities Andrew Duthie, Senior Manager, Vancouver Rob Stevens Mining and Infrastructure, Hatfield Consultants

March 2017 Briefing on CIRDI matters Peter Fiamor, Trade Commissioner, Toronto Cassie Doyle Canadian High Commission of Ghana Rob Stevens Mairi Murchison

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 133 Kirsten Dales

Discuss collaborative opportunities Nathan Monash, Vice-President, Toronto Cassie Doyle Business Sustainability, Lundin Gold Mairi Murchison Discuss collaborative opportunities H.E. Antonio Isa Conde, Minister of Toronto Cassie Doyle Energy and Mines of the Dominican Kirsten Dales Republic Renso Herrera Franco, Trade and Business Advisor, Embassy of the Dominican Republic in Canada Discuss collaborative opportunities Pierre Giroux, High Commissioner to Toronto Kirsten Dales the Cooperative Republic of Guyana and Canadian Ambassador to Suriname Discuss collaborative opportunities High Commissioner of Nigeria to Toronto Kirsten Dales Canada Olufemi T Adeniyi, Second Secretary, Economic, Trade and Investment Matters, Nigeria High Commission Discuss collaborative opportunities Jeffrey Bond, Manager, Surficial Toronto Kirsten Dales Geology, Yukon Geological Survey Discuss collaborative opportunities Christopher Sheldon, Practice Toronto Cassie Doyle Manager, Energy and Extractives Kirsten Dales Sector, World Bank Group Mairi Murchison Discuss collaborative opportunities Peter Sinclair, Chief Sustainability Toronto Cassie Doyle Officer, Barrick Update on CIRDI matters Nathalie Garon, Senior Development Call Rob Stevens Officer, Global Affairs Canada

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 134 Update on CIRDI matters Peter Fiamor, Trade Commissioner Call Rob Stevens Mining, Canadian High Commission of Ghana Discuss collaborative opportunities Sulemanu Koney, CEO, Ghana Chamber Accra Rob Stevens of Mines Discuss collaborative opportunities Richard Afenu, Director, Mineral Accra Rob Stevens Commission Ghana Jerry Ahadjie, Assistant Manager, Sectoral Policy and Planning, Minerals Commission Ghana Discuss collaborative opportunities Ebenezer Appah-Sampong, Chief Accra Rob Stevens Program Officer, Environmental Protection Agency, Ghana Discuss collaborative opportunities Professor Daniel Ofori, Associate Accra Rob Stevens Professor, Department of Organisation and HRM Discuss collaborative opportunities Professor Bruce Banoeng-Yakubo, Accra Rob Stevens Department of Earth Science, University of Ghana Discuss collaborative opportunities Friedmann Gille, Extractive Monitor, Accra Rob Stevens Canadian High Commission of Ghana Discuss collaborative opportunities H.E. Shinkai Karokhail, Ambassador of Vancouver Cassie Doyle Afghanistan to Canada Marie-Luise Ermisch Update on CIRDI matters Ross McMillan, President, Tides Vancouver Cassie Doyle Foundation

CIRDI Year End Report: April 1, 2016 to March 31, 2017 / 135