Methodology to Determine the Associative Potential of Small-Scale Mining Communities

Round 1

Reviewer 1 Report

Comments and Suggestions for Authors

In most developing countries, informal mining is a recurrent activity with several negative implications, such as:

• Destruction of non-renewable resources, since deposits are usually exploited without a prior geo-referenced survey of existing resources, without a substantiated mining plan, without an optimized planning of the mining extraction sequence;
• Profound environmental implications resulting from the chaotic storage of the rock mining wastes and, eventually, if ore dressing is involved, from the tailings;
• An especially serious case is that of the research and recovery of gold using mercury, a practice that, unfortunately, is still used in informal mining, especially in parts of Africa and South America.

In some of these developing countries, informal artisanal mining, practised by small enterprises, associations or cooperatives, is entrenched and constitutes one of the few sources of local income, usually in small isolated communities. Informal mining also implies significant challenges related to safety, health, environmental impact, and labour practices.

Columbia does not escape this situation: according to the 2019 Minerals Yearbook, “the mineral concession titles were present in only 3.1% of its national territory”. Excluding the oil sector, Colombia's relevant mining production includes coal, bentonite, emeralds, copper, gold, platinum, iron ore, phosphate rock, salt, and silver. The mining and quarrying sector contributed to the GDP with about 2%. The total value-added growth in the mining industry has been increasing in recent years. The mineral industry continued to be a leader in attracting Foreign direct investment (FDI) to the country, accounting for about 29% of Colombia’s total overall FDI inflows in 2019.

There is thus a conflicting situation between the economic, social and environmental consequences of informal small-scale and artisanal mining and the economic interests involved in the subsistence of small associative communities of miners, generally in remote areas with no alternative employment in other activities. It has been a tendency, in most countries where this situation occurs, to promote associativity between the various operators, inserting them in a voluntary conjunctural framework that allows for indirect regulation, which will transmute into an increase in the control of the activity (specific semblance of formalization), an improvement in the technologies and methods and in the occupational safety of the direct actors. Attempts have been made to obtain direct support from the groups directly involved in this activity, most of them successfully.

This paper describes the methodology that was used to determine the participatory potential of the association of small enterprises involved in informal mining activity. The contextual and legislative framework and the methodology used to determine the associative potential are described. Two pilot projects were implemented where the proposed roadmap was used, and the results were measured.

We think that the article would be greatly improved if a more concise description of the context in which this type of mining activity is carried out is provided, making both a sociological framework and a reflective analysis of the advantages and disadvantages of legally sanctioning, even indirectly, this type of economic activity.

We suggest the inclusion of the following issues:

1. What are the main types of utilities that are targeted by informal mining in Colombia?
2. What are the main structures of the companies involved?
3. What are the most relevant drawbacks of the activity?
4. What is the macroeconomic importance of informal mining?
5. Is there any inventory for the most active regions of the number of companies involved in this activity? What is the average number of workers in each company? What is the educational and technical training of the participants?
6. What are the main environmental adversities that have resulted from this activity?

Author Response

Response to Reviewer 1

We are extremely grateful for the detailed and constructive feedback from Reviewer 1. Their comments are invaluable for enriching the depth and scope of our manuscript. Below, we detail how we plan to address each of their suggestions:

General Comment: Need for a more concise description of the context, sociological framework, and reflective analysis of the advantages and disadvantages of indirect legal sanctioning.

Response: We acknowledge this fundamental observation. We recognize the importance of providing a more robust context that goes beyond mere description to offer a critical and reflective analysis of informal mining in Colombia. To address this, we will expand the introductory section and, if necessary, create a new subsection titled "Context of Informal Mining in Colombia: Socioeconomic and Environmental Dimensions," or similar. In this section, we will focus on the following aspects, which also address your specific questions:

1. Sociological Framework and Legal Dilemmas: We will delve deeper into the social dynamics that sustain informal mining, recognizing it as an entrenched activity in many isolated communities and one of their main sources of livelihood. We will provide a more explicit analysis of the tension between the need for formalization and the socioeconomic implications of strict or indirect regulation. We will discuss the advantages (e.g., improved labor, environmental, and safety conditions; access to formal markets; investment) and disadvantages (e.g., potential displacement of populations, resistance to formalization due to costs or bureaucracy, loss of autonomy) of formalization strategies, contextualizing them within the Colombian reality.

2. Types of Minerals Exploited and Company Structure: We will include a section detailing the main minerals targeted by informal mining in Colombia (beyond those generically mentioned in the 2019 report, if information is accessible), and characterize the predominant organizational structures in these mining communities (e.g., family businesses, informal associations, nascent cooperatives), highlighting their diversity and particularities.

3. Drawbacks of the Activity and Macroeconomic Importance: We will expand the discussion on negative implications, not only the environmental and resource-related ones already mentioned, but also social (safety, health, labor conditions), economic (informal prices, lack of access to credit, vulnerability), and legal (illegality, extortion) aspects. We will emphasize the macroeconomic importance of informal mining, including its (unofficial) contribution to regional and national GDP, and its role in attracting foreign investment (mentioned in the original text, but which can be more directly linked to informality as a challenge for formal investment). We will incorporate more up-to-date data if available to strengthen this argument.

4. Inventory of Active Regions and Worker Characteristics: We will attempt to integrate information on the most active regions, the estimated number of companies or productive units, the average number of workers per unit, and, if the literature allows, a general characterization of the educational and technical training of the miners involved. We acknowledge that this information may be dispersed or difficult to quantify precisely in the context of informality, but we will strive to present the most reliable data and existing estimates.

5. Environmental Adversities: Although the manuscript already touches on this point, we will reinforce it with more specific examples and, if relevant, with quantitative data on the destruction of non-renewable resources, the impact of mining waste, and the use of mercury, which is a crucial point for the reviewer.

Action Plan:

• Restructuring of Introduction and Context: We will revise the introduction to include a paragraph that introduces the complexity of informal mining as a multifaceted phenomenon with intertwined social, economic, and environmental implications.
• New Subsection: We will create a specific subsection for the "Context of Informal Mining in Colombia," where the points 1, 2, 3, 4, and 5 mentioned above will be addressed concisely and reflectively.
• Additional References: Updated and relevant bibliographic references will be sought and added to support the new data and contextual analyses.

We sincerely appreciate these suggestions, which will undoubtedly improve the relevance and impact of our work by offering a more comprehensive understanding of the complex landscape of informal mining in Colombia. We will proceed with these revisions with utmost diligence.

Author Response File: Author Response.pdf

Reviewer 2 Report

Comments and Suggestions for Authors

Dear authors, please see the attachment.

Comments for author File: Comments.pdf

Comments on the Quality of English Language

Minor proof-read is needed

Author Response

Dear Reviewer,

We sincerely appreciate your detailed and constructive comments, which will undoubtedly significantly enrich the quality and clarity of our manuscript. We have carefully reviewed each of your points and agree on the need to incorporate the suggested improvements. Below, we present our point-by-point response and the corresponding action plan:

Comments and Action Plan:

Abstract Structure: Comment: "The abstract should be structured as follows: Introduction (and work objective), Methodology, Results, Discussion and Conclusions." Action Plan: We will restructure the abstract to explicitly follow the IMRDC (Introduction, Methodology, Results, Discussion, and Conclusions) format, ensuring each section is clearly delineated and contains the concise information required.

Country Specification (Duplicate Comment): Comment: "Since it is a case study, I would recommend stating right away to which country you are referring to." Action Plan: We will clarify from the beginning of the abstract and in the first section of the introduction that the case study focuses on Colombia.

Confirmation of Reference 246: Comment: "Ref 246 Please confirm." Action Plan: We will verify reference [246] in the manuscript to confirm its accuracy and relevance. If necessary, we will update it or replace it with a more appropriate and recent source.

Conceptual Definitions: Comment: "The article uses concepts such as “associativity,” “formalization,” “associative potential,” and “cognitive capital” without precise definitions. It is recommended to include an initial section with clear operational definitions, perhaps as a sub-item in the introduction, to avoid ambiguity." Action Plan: We will add a new subsection within the introduction (e.g., "1.X. Key Definitions") where we will provide clear operational definitions for "associativity," "formalization," "associative potential," and "cognitive capital," contextualizing them within the scope of the article.

Connection of International Analysis with the Colombian Case: Comment: "The international analysis section is rich, but it is not very connected to the Colombian case. It is recommended to highlight specific lessons learned from these cases and how they were adapted or inspired the local methodology, strengthening the originality of the work..." Action Plan: We will revise the international analysis section to establish explicit links between lessons learned from global experiences and the methodology applied or inspired by the Colombian context. We will emphasize how these learnings informed the local proposal.

Unifying Theoretical Framework (Duplicate Comment): Comment: "Although the paper cites national and international experiences, it lacks a unifying theoretical framework. It is recommended to include authors and theories from economic sociology or solidarity economics that support the proposed model of associativity in artisanal mining contexts." Action Plan: We will integrate a robust theoretical framework, based on authors and theories from economic sociology or solidarity economics, to support the proposed associativity model for the artisanal mining sector. This framework will be introduced early and consistently referenced throughout the text.

Remove ". II": Comment: "Remove . II" Action Plan: We will locate and remove the character sequence ". II" that has been identified as a formatting or text error.

Figure Titles and References: Comment: "The figures are useful and really important to strengthen the work, but they need more explanatory titles and direct references in the body of the text with critical interpretation (not just “see Figure XPTO”)." Action Plan: We will modify all figure titles to be more descriptive and self-explanatory. Additionally, we will ensure that each figure is directly referenced in the body of the text, accompanied by a critical interpretation and a discussion of its relevance.

Missing Data in the Protocol: Comment: "Some data is missing that would improve protocol clarity such as number of participants, selection criteria, triangulation strategy, and qualitative data analysis tools." Action Plan: We will add specific details to the methodology section, including the exact number of participants, the selection criteria used, the triangulation strategy (if applicable), and the qualitative data analysis tools or methods employed.

Pilot Limitations and Capital Results Table: Comment: "It would be important to discuss the limitations of the pilots (selection bias, community resistance, influence of external actors, among others). Also, a summary table (or figure) with the results of the four types of capital would be appreciated." Action Plan: We will include a dedicated subsection in the discussion to address the limitations of the pilot projects (such as selection bias, community resistance, and influence of external actors). Additionally, we will create a summary table or figure that presents the results obtained for the four types of capital.

Main Academic Contribution: Comment: "It is recommended to explicitly state the main academic contribution of the article, whether it is the methodological model, the pilots, or the comparative analysis, and what gap it fills in the literature." Action Plan: We will draft a clear and concise statement of the article's main academic contribution, specifying whether it lies in the methodological model, the pilot studies, or the comparative analysis, and explicitly stating the gap the work fills in the existing literature. This will be placed in the introduction and/or the conclusions section.

Study Limitations and Future Research: Comment: "Also, the study could include a brief discussion of its limitations and suggestions for future research, such as testing the roadmap in other contexts, exploring the social dimensions of associativity in greater depth, or integrating more robust economic variables." Action Plan: We will add a specific section titled "Limitations and Future Research," where we will discuss the limitations of the current study (e.g., scope of the pilots) and propose lines of future research, such as applying the roadmap in other contexts, delving deeper into the social dimensions of associativity, or incorporating more robust economic variables.

Bibliographical References: Comment: "References: Please check comment below." Action Plan: We will conduct a comprehensive review of all references to ensure their accuracy, consistency, and conformity with the journal's citation style. We will ensure that all new contextual data and analyses are adequately supported by updated and pertinent bibliographical references.

Thank you again for your time and valuable contributions. We are committed to implementing these improvements to strengthen the manuscript.

Author Response File: Author Response.pdf

Round 2

Reviewer 1 Report

Comments and Suggestions for Authors

I find the new paragraphs introduced quite satisfactory, contextualising the research and clarifying more objectively the context in which it was carried out.

Author Response

Dear Reviewer,

Thank you again for your time and valuable contributions. 

 

Reviewer 2 Report

Comments and Suggestions for Authors

Dear Authors,

Thank you for taking the time to answer my comments and suggestions. However, the majority were not included in the manuscript despite the action plans. Not even the reference styling, which is rather basic to correct...

Author Response

Formal Response to Reviewer 2 and Action Plan

Dear Reviewer,
We sincerely appreciate your detailed and constructive comments, which will undoubtedly significantly enrich the quality and clarity of our manuscript. We have carefully reviewed each of your points and agree on the need to incorporate the suggested improvements. Below, we present our point-by-point response and the corresponding action plan:

Comments and Action Plan:
Abstract Structure: Comment: "The abstract should be structured as follows: Introduction (and work objective), Methodology, Results, Discussion and Conclusions." Action Plan: We will restructure the abstract to explicitly follow the IMRDC (Introduction, Methodology, Results, Discussion, and Conclusions) format, ensuring each section is clearly delineated and contains the concise information required.
Country Specification (Duplicate Comment): Comment: "Since it is a case study, I would recommend stating right away to which country you are referring to." Action Plan: We will clarify from the beginning of the abstract and in the first section of the introduction that the case study focuses on Colombia.
Confirmation of Reference 246: Comment: "Ref 246 Please confirm." Action Plan: We will verify reference [246] in the manuscript to confirm its accuracy and relevance. If necessary, we will update it or replace it with a more appropriate and recent source.
Conceptual Definitions: Comment: "The article uses concepts such as “associativity,” “formalization,” “associative potential,” and “cognitive capital” without precise definitions. It is recommended to include an initial section with clear operational definitions, perhaps as a sub-item in the introduction, to avoid ambiguity." Action Plan: We will add a new subsection within the introduction (e.g., "1.X. Key Definitions") where we will provide clear operational definitions for "associativity," "formalization," "associative potential," and "cognitive capital," contextualizing them within the scope of the article.
Connection of International Analysis with the Colombian Case: Comment: "The international analysis section is rich, but it is not very connected to the Colombian case. It is recommended to highlight specific lessons learned from these cases and how they were adapted or inspired the local methodology, strengthening the originality of the work..." Action Plan: We will revise the international analysis section to establish explicit links between lessons learned from global experiences and the methodology applied or inspired by the Colombian context. We will emphasize how these learnings informed the local proposal.
Unifying Theoretical Framework (Duplicate Comment): Comment: "Although the paper cites national and international experiences, it lacks a unifying theoretical framework. It is recommended to include authors and theories from economic sociology or solidarity economics that support the proposed model of associativity in artisanal mining contexts." Action Plan: We will integrate a robust theoretical framework, based on authors and theories from economic sociology or solidarity economics, to support the proposed associativity model for the artisanal mining sector. This framework will be introduced early and consistently referenced throughout the text.
Remove ". II": Comment: "Remove . II" Action Plan: We will locate and remove the character sequence ". II" that has been identified as a formatting or text error.
Figure Titles and References: Comment: "The figures are useful and really important to strengthen the work, but they need more explanatory titles and direct references in the body of the text with critical interpretation (not just “see Figure XPTO”)." Action Plan: We will modify all figure titles to be more descriptive and self-explanatory. Additionally, we will ensure that each figure is directly referenced in the body of the text, accompanied by a critical interpretation and a discussion of its relevance.
Missing Data in the Protocol: Comment: "Some data is missing that would improve protocol clarity such as number of participants, selection criteria, triangulation strategy, and qualitative data analysis tools." Action Plan: We will add specific details to the methodology section, including the exact number of participants, the selection criteria used, the triangulation strategy (if applicable), and the qualitative data analysis tools or methods employed.
Pilot Limitations and Capital Results Table: Comment: "It would be important to discuss the limitations of the pilots (selection bias, community resistance, influence of external actors, among others). Also, a summary table (or figure) with the results of the four types of capital would be appreciated." Action Plan: We will include a dedicated subsection in the discussion to address the limitations of the pilot projects (such as selection bias, community resistance, and influence of external actors). Additionally, we will create a summary table or figure that presents the results obtained for the four types of capital.
Main Academic Contribution: Comment: "It is recommended to explicitly state the main academic contribution of the article, whether it is the methodological model, the pilots, or the comparative analysis, and what gap it fills in the literature." Action Plan: We will draft a clear and concise statement of the article's main academic contribution, specifying whether it lies in the methodological model, the pilot studies, or the comparative analysis, and explicitly stating the gap the work fills in the existing literature. This will be placed in the introduction and/or the conclusions section.
Study Limitations and Future Research: Comment: "Also, the study could include a brief discussion of its limitations and suggestions for future research, such as testing the roadmap in other contexts, exploring the social dimensions of associativity in greater depth, or integrating more robust economic variables." Action Plan: We will add a specific section titled "Limitations and Future Research," where we will discuss the limitations of the current study (e.g., scope of the pilots) and propose lines of future research, such as applying the roadmap in other contexts, delving deeper into the social dimensions of associativity, or incorporating more robust economic variables.
Bibliographical References: Comment: "References: Please check comment below." Action Plan: We will conduct a comprehensive review of all references to ensure their accuracy, consistency, and conformity with the journal's citation style. We will ensure that all new contextual data and analyses are adequately supported by updated and pertinent bibliographical references.
Thank you again for your time and valuable contributions. We are committed to implementing these improvements to strengthen the manuscript.