OUP CORRECTED PROOF – FINAL, 25/5/2018, SPi Governing Extractive Industries OUP CORRECTED PROOF – FINAL, 25/5/2018, SPi OUP CORRECTED PROOF – FINAL, 25/5/2018, SPi Governing Extractive Industries Politics, Histories, Ideas Anthony Bebbington, Abdul-Gafaru Abdulai, Denise Humphreys Bebbington, Marja Hinfelaar, and Cynthia A. Sanborn with Jessica Achberger, Celina Grisi Huber, Verónica Hurtado, Tania Ramírez, and Scott D. Odell 1 OUP CORRECTED PROOF – FINAL, 25/5/2018, SPi 3 Great Clarendon Street, Oxford, OX2 6DP, United Kingdom Oxford University Press is a department of the University of Oxford. It furthers the University’s objective of excellence in research, scholarship, and education by publishing worldwide. Oxford is a registered trade mark of Oxford University Press in the UK and in certain other countries © Anthony Bebbington, Abdul-Gafaru Abdulai, Denise Humphreys Bebbington, Marja Hinfelaar, and Cynthia A. Sanborn 2018 The moral rights of the authors have been asserted First Edition published in 2018 Impression: 1 Some rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, for commercial purposes, without the prior permission in writing of Oxford University Press, or as expressly permitted by law, by licence or under terms agreed with the appropriate reprographics rights organization. This is an open access publication, available online and distributed under the terms of a Creative Commons Attribution – Non Commercial – No Derivatives 4.0 International licence (CC BY-NC-ND 4.0), a copy of which is available at http://creativecommons.org/licenses/by-nc-nd/4.0/. Enquiries concerning reproduction outside the scope of this licence should be sent to the Rights Department, Oxford University Press, at the address above Published in the United States of America by Oxford University Press 198 Madison Avenue, New York, NY 10016, United States of America British Library Cataloguing in Publication Data Data available Library of Congress Control Number: 2018937073 ISBN 978–0–19–882093–2 Printed and bound by CPI Group (UK) Ltd, Croydon, CR0 4YY Links to third party websites are provided by Oxford in good faith and for information only. Oxford disclaims any responsibility for the materials contained in any third party website referenced in this work. OUP CORRECTED PROOF – FINAL, 25/5/2018, SPi UK Aid Acknowledgement This book is an output from a project funded by UK Aid from the UK government for the benefit of developing countries. However, the views expressed and information contained therein are not necessarily those of, or endorsed by, the UK Government, which can accept no responsibility for such views or information, or for any reliance placed on them. OUP CORRECTED PROOF – FINAL, 25/5/2018, SPi OUP CORRECTED PROOF – FINAL, 25/5/2018, SPi Preface and Acknowledgements This book has been several years in the making. Ideas for the research project on which it is based slowly began cooking in 2012 as part of wider discussions within the Effective States and Inclusive Development (ESID) Research Centre, an international collaboration of research centres coordinated by the Global Development Institute at the University of Manchester. ESID’s unifying ques- tion is: ‘What kinds of politics can help to secure inclusive development, and how can these be promoted?’ Our research project asked how one might understand the interactions between political settlements, extractive industry governance, and patterns of inclusion over the long haul. We had each worked on extractive industries for a number of years, and for each of us it was more than obvious that politics is central to how the sector is governed. However, the challenge of finding a formal language for talking about this political dimension, and of doing so in a way that would allow for systematic comparison and synthesis across different country contexts, piqued our interest. And so began the initiative that has culminated in this manuscript. In keeping with the general orientation of the broader ESID programme, we worked from literature on political settlements. This generated its own challenges—sometimes it seemed to help our analyses, while at other times it felt as if the language got in the way. We debated the usefulness or not of the concept, and in the end made our own settlement with political settlements. In part, this was because of the challenge at hand. It is completely reasonable to have to talk about 125 years of a country’s political and natural resource governance history in forty pages: in political debate and general conversa- tion, citizens are frequently in the business of making such concise interpret- ations of history and then mobilizing them as part of a broader debate. Yet, the actual challenge of writing these forty-page interpretations was brutal: on the one hand, it felt we were leaving so much out, while on the other, details were always getting in the way of the flow of our arguments. After very many iterations and discussions of the four country cases that constitute the basis of this book, we cycled back to the view that the political settlements framework became the most productive and integrative way to talk about these long-term dynamics in ways that allow comparisons over time and across space. We also concluded that the language of political settlements was especially useful OUP CORRECTED PROOF – FINAL, 25/5/2018, SPi Preface and Acknowledgements because it allowed us to discuss through one framework quite different forms of resource extraction: large-scale mining, large-scale hydrocarbons, artisanal and small-scale mining (ASM), and mining cooperatives. This is important because in the literature, these different forms of extraction are most often discussed separately, notwithstanding the clear political, economic, and geographical relationships that exist among them. As we have proceeded along this analytical and theoretical road trip (com- plete with flat tyres, breakdowns, and speeding tickets), we have received sterling intellectual guidance from Sam Hickey at Manchester. Sam has offered comment and criticism with great generosity, and has also been our project’s most loyal supporter and cheerleader, especially when we felt we were treading water. Also in the core ESID team, the comments and thinking of Pablo Yanguas, Kunal Sen, and Matthias vom Hau have been very helpful. This project was linked to two others—one investigating corporate social responsibility (CSR) in mining, led by Tomas Frederiksen; the other addressing the relationships between natural resource taxation and redistributive social policy, led by Paul Mosley. Tomas and Paul were part of many of our team debates and we owe them an intellectual debt of gratitude also. In Peru, Tania Ramírez and Verón- ica Hurtado made considerable and important contributions to the research and writing, Alvaro Cano’s work on the evolution of public policies towards ASM was fundamental to our understanding thereof, Alejandra Villanueva’s research provided new insights into the mining sector, and Alvaro Paredes provided research assistance. For research on Bolivia, Celina Grisi Huber played a vital role in field research, Laura Riddering and Scott Odell each supported with invaluable assistance. In Zambia, Jessica Achberger and Justine Sichone each helped greatly in the preparation of research materials. At Manchester and at our respective home institutions, many people have assisted with the management of this project. They have facilitated our meet- ings, organized workshops, handled budgets, and done all the other adminis- trative work without which research—especially international collaborative and comparative research—would not be possible. In particular, we are grate- ful to Kat Bethell, Julia Brunt, Clare Degenhardt, Pamela Dunkle, Sophie King, Susan Puryear, Julie Rafferty, Zuleyka Ramos, Ingrid Vega, and Anna Webster. We are especially grateful to Scott Odell of Clark University, who did a remarkable job editing the chapters, teasing out their messages, clarifying and correcting syntax and grammar, and preparing the manuscript for Oxford University Press (OUP). At Melbourne, Chandra Jayasuriya was an enormous help in preparing all the maps for this book. At OUP, we thank Adam Swallow for his guidance and support of the project, and Catherine Owen and Katie Bishop for guiding it through contracting and production. Many people have commented on this work as it has progressed, and their observations and criticisms have improved our arguments in many ways. viii OUP CORRECTED PROOF – FINAL, 25/5/2018, SPi Preface and Acknowledgements In particular, we are grateful to Martin Abregú, Javier Arellano-Yanguas, Kojo Asante, José Alejandro Peres Cajías, Alvaro Cano, John Crabtree, Gerardo Damonte, Eduardo Dargent, Sam Hickey, David Hulme, David Kaimowitz, Terry Karl, Carlos Monge, Alvaro Paredes, Maritza Paredes, Martin Scurrah, and Alejandra Villanueva. We are also grateful for the various anonymous reviews that we received on the book proposal and the different chapters of the manuscript. Our arguments and interpretations have also been presented in workshops, discussion fora, and panels at the Latin American Studies Association annual meetings in New York (2016) and Lima (2017); the Uni- versidad del Pacífico in Lima; the ESID Research Dissemination workshop at the Ghana Centre for Democratic Development, Accra; the Southern African Institute for Policy Analysis and Research, Lusaka; the Centre for Regional