Earth Observation for Monitoring and Observing
Environmental and Societal Impacts of Mineral
Resources Exploration and Exploitation
Project no: 244242, call 2009, Theme 6, Topic ENV.2009.4.1.3.2
Resonance Analysis of Selected
Earth Observation Specifications
Dominic Wittmer, Philipp Schepelmann, Henk Coetzee
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Resonance Analysis of
Selected EO Specifications
Resonance Analysis of Selected
Earth Observation Specifications
Final Report
February 2014
Dominic Wittmer, Philipp Schepelmann, Henk Coetzee
With the collaboration of
Bantu Hanise
Checked by:
Approved by:
Name: Philipp Schepelmann
Name: Stephane Chevrel
Date:
Date:
Signature:
Signature:
Final report
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Resonance Analysis of
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EO-MINERS D1.6
“Resonance Analysis of Selected Earth Observation Specifications“
Due date of Deliverable
October 2013
Actual Submission Date
18.02.2014
Start Date of Project
February 1st, 2010
Duration
45 months
Deliverable Lead Contractor
WI
Revision
Version 1
Last Modifications
February 2014 (Mx)
Nature
Report
Dissemination level
Public
Public Summary enclosed
YES
Reference / work package
DoW WP1
Digital File Name
D1.6_V1.pdf
Keywords:
In bibliography, this
report should be
cited as follows:
Final report
resonance analysis, European Union, South Africa, mining
policy, policy cycle, mining stakeholders, earth observation,
case study, indicators
Wittmer, D., Schepelmann, P., Coetzee, H., Hanise, B. (2014):
Resonance Analysis of Selected Earth Observation
Specifications. Earth Observation for Monitoring and
Observing Environmental and Societal Impacts of Mineral
Resources Exploration and Exploitation, CEC FP7 Project EOMINERS, Deliverable 1.6
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Resonance Analysis of
Selected EO Specifications
Summary
The project EO-MINERS make use of knowledge on Earth Observation (EO) based
methods to develop technological tools suited for monitoring mining activities. More
precisely, those EO tools are in focus, which allow monitoring the state of the
environment and the mine, the pressures on the environment and the society, and the
impacts on the environment and society. The ultimate aim of EO-MINERS is to test the
potential of cutting-edge EO methods to provide further environmental and societal
information on mining in particular for non-technical stakeholders, from local to
international scale.
The purposefulness of the EO products developed can be estimated with regard to
stakeholder satisfaction or to their applicability in the policy cycle. The information
needs of the stakeholders formed the reference frame for the quality assurance of EO
products. Thus, feedback of the stakeholders was received regarding the “fitting
accuracy” of the EO products on their needs, during specific workshops in the final
stage of the project (“trialogue workshops”). Beyond, the impact of these EO products
and methods on the corresponding policy cycle was investigated by resonance
analyses, thus constituting another quality control for the potential usefulness of the EO
methodology for corporate and public stakeholders with regard to the corresponding
policy development.
This report provides resonance analyses on two selected indicators: firstly on the EU
level the indicator “unused extraction” from mining; secondly, on the example of the
eMalahleni Coalfield, South Africa, the indicator “aerosols”. Given the new application
of the resonance analysis method in the mining sector, this study served as test case
for the transferability of the resonance analysis on specific policy areas like mining
policy.
The first part of the report recapitulates the increasing dependence on societal
accountability of mining projects, the information needs by stakeholders, and the role of
EO-MINERS to address these information needs by EO products. The second part
introduces the general resonance analysis methodology that has been dedicated
specifically to match policies with indicators, describes its further development for Earth
Observation purposes, its application and operationalisation in the EO-MINERS
context, and the processing of the resonance analyses on the EU and the local level.
Empirical evidence was collected on whether and how specific EO products can be
related to phases of the policy cycle.
The specific and general environmental policies of the EU might best be addressed
with site-specific indicators; the resource policies of the EU, however, generate a
specific need for information about mineral resources usually is covered by national
and EU statistical services. Accordingly, providing source data for the latter would
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Resonance Analysis of
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require the development of specific EO services on the macro level. The mineralsrelated indicator development for both the EU resource policies and the EU
environmental satellite accounts relies heavily on Economy-wide Material Flow
Accounts (EW-MFA). This might offer considerable opportunities for EO-MINERS and
other earth observation activities related to mining such as the GEOSS Societal Benefit
Area on Energy. These opportunities can be realised, if the identified stakeholder
needs in the EU Member States and the Commission services are met by intensified
efforts on the supply side in research and development. This would require an
appropriate orientation of Copernicus and other EU activities towards GEOSS;
however, the project had no indication that DG Enterprise Raw Materials policies,
which encompass better monitoring of raw material extraction, actually influence
Copernicus and GEO policies of the EU, and it is to be expected that the existing need
in other Commission services (e.g. Eurostat or DG ENV) or the EU-Member States for
earth observation of mining activities and intensified material flow accounting will not or
not sufficiently be met by neither Copernicus nor the GEOSS Societal Benefit Area on
Energy.
The resonance analysis on the micro level refers to the environmental policy in the
eMalahleni area, South Africa, regarding the indicator “aerosols”. The EO-MINERS
project opened up a new dimension with regard to the Problem Analysis by extending
the analytical scope on potentially hazardous metals within airborne particulate matter,
by means of the EO product “dust pollution” that enabled to measure cumulative
airborne particulate pollution. The low resonance in the phase Target Setting and
further phases of the policy cycle can be explained in retrospect by the novelty of such
measurements in the study area that implies a lack of experiences on the interpretation
of source-path-receptor relationships for the metal concentrations contained in the
dust. The extension of the knowledge base in the eMalahleni area is considered to be a
crucial step, in order to strengthen further political advancements and to provoke
specific resonance.
More generally, the impact of EO products on the local to national overall policy cycles
can be limited due to the lack of clear structures enabling a systematic uptake of
corresponding EO data by stakeholders. Comparative studies on this aspect would be
required on different (mining) sites in order to understand better the potential
resonance, and how this potential could be enhanced purposefully.
On the local level, the policy framework appears relatively fragmented and tends to
focus strongly on local management of environmental and societal impacts, while
neglecting macro-scale concerns. Awareness raising could improve this situation on
the local level, in particular for the regulators and industry stakeholders.
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Content
Summary ........................................................................................................... 3
1. Mining and Societal Accountability ............................................................ 7
2. Information Needs on Mining Activities ..................................................... 9
2.1. DIVERSITY OF INFORMATION NEEDS RELATED TO MINING ACTIVITIES 10
2.2. DIVERSITY OF STAKEHOLDERS .................................................................. 12
2.2.1. Industry .................................................................................................. 12
2.2.2. Government ........................................................................................... 12
2.2.3. Civil Society............................................................................................ 13
2.3. CREATING AN UNITY – THE EO-MINERS METHODOLOGY ....................... 13
3. Earth Observation Products to Answer Information Needs Regarding
Mining Activities ......................................................................................... 15
4. Resonance Analysis ................................................................................... 23
4.1. OPERATIONALISING RESONANCE .............................................................. 25
4.2. APPLYING RESONANCE ANALYSIS IN EO-MINERS ................................... 26
4.3. COLLECTING EVIDENCE ON RESONANCE IN EO-MINERS ....................... 28
4.4. LOCAL AND EU CASE STUDIES ................................................................... 31
5. European Union .......................................................................................... 33
5.1. RESONANCE ANALYSIS ON UNUSED EXTRACTION ................................. 34
5.2. EVALUATION ................................................................................................. 38
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6. South Africa ................................................................................................ 39
6.1. RESONANCE ANALYSIS ON AEROSOLS IN THE EMALAHLENI COALFIELD39
6.1.1. Meta and Macro Level: Policies and Indicators on Air Pollution .............. 46
6.1.2. Meso-Level: Environmental Indicators with Regard to the Mining Sector 48
6.1.3. Resonance Analysis on the policy area “air quality” in the eMalahleni Area56
6.2. EVALUATION.................................................................................................. 59
7. Conclusions ................................................................................................ 61
8. Acknowledgements .................................................................................... 64
9. References .................................................................................................. 65
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1. Mining and Societal Accountability
Mining is a necessary prerequisite for the supply of primary mineral resources to
industrial societies. This can provide large benefits with regard to economic status, but
mining activities at the same time cause negative environmental and societal impacts.
Ideally, it should be possible to assign these impacts to specific products based on
natural resource extraction (Product Environmental Footprint, PEF) or to mining
companies (Organisational Environmental Footprint, OEF). Environment Commissioner
Janez Potočnik highlighted in a press release of April 9 2013 on environmental
footprinting: "To boost sustainable growth, we need to make sure that the most
resource-efficient and environmentally-friendly products on the market are known and
recognisable. By giving people reliable and comparable information about the
environmental impacts and credentials of products and organisations, we enable them
to choose. And by helping companies to align their methods we cut their costs and
administrative burdens."1
The environmental and societal footprints of mining activities comprise any activities
along the life cycle of mines: from concept to closure including exploration and
extraction of mineral resources, beneficiation of raw materials, and reclamation.
Information on the benefits and impacts is required to facilitate and improve interaction
between the mineral extractive industry and other mining related stakeholders
(regulators, civil society, industry etc.).
As the amount of globally extracted mineral resources has increased over a period of
decades, so have mining activities. On the one hand, social and environmental
standards were set for the mining sector in many countries, partly on voluntary basis,
and the best available technologies improved over time. On the other hand, the
increasing number of mines, the increasing volumes of extraction, and inadequate
social and environmental standards in many countries offset social, economic and
environmental benefits from technical advances. Pollution of air, water and soil, or the
relocation of local population etc. remind us that the negative impacts by mining
activities are still significant. Transparent communication of societal benefits and risks
of mining as well as corporate social responsibility and accountability support the
societal acceptance that is generally required to allow peaceful coexistence of mining
companies and other stakeholders.
The mineral extractive industry is increasingly confronted with claims to consider tighter
environmental regulation and demands by the local communities. To this effect, data
1
http://europa.eu/rapid/press-release_IP-13-310_en.htm
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with adequate quality, coverage and dependability are seen as essential in view of the
sector´s sustainable development while improving its societal acceptability.
In addition to expectations of the local stakeholders, there is also an increasing global
dimension of societal acceptability. With modern information and communication
technology, the local impacts of virtually any mine may be exposed globally. The
internet in combination with an emerging global audience, connected by using social
media and other networking tools, means that the compliance with minimum
environmental and social standards is increasingly expected. Various international
organisations have already started to develop global environmental and social mining
standards and regulations (see Usubiaga et al. 2012), while “global civil society”,
international non-governmental organisations, and the media increasingly demand
more accountability and transparency from the mining sector.
Environmental footprinting, corporate societal accountability and societal acceptability
during all phases of mining projects – from exploration to closure – have
consequentially become key issues for the mining industry.
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2. Information Needs on Mining Activities
Societal acceptance of mining activities depends on several conditions:




the benefits must at least outweigh the negative environmental and societal
impacts, in general, but also for certain subgroups of stakeholders;
certain negative societal and environmental pressures, states and impacts may
not exceed a distinct level;
an efficient continuous monitoring of the indicators is required;
the data underlying the indicators need to be trustworthy. This means that the
data needs validation and acquisition standards.
These conditions are linked to open access to information on mining activities. In order
to improve the competences to address these needs for information, the scientific and
technical objectives of the FP7 project “Earth Observation for Monitoring and
Observing Environmental and Societal Impacts of Mineral Resources Exploration and
Exploitation” (EO-MINERS) are to:



define and assess information requirements from local to national level policies
(micro to macro level) on environmental, socio-economic, societal and
sustainable development issues;
use existing earth observation (EO) tools and carry out EO method
developments on mining sites to demonstrate the capabilities of integrated EObased methods and tools in monitoring, managing and contributing to the
reduction of environmental and societal footprints of the extractive industry;
contribute to make available reliable and objective information about affected
ecosystems, and communities, to serve as a basis for a sound dialogue
between
industry,
governmental
organisations,
non-governmental
organisations.
The project EO-MINERS uses knowledge on EO based methods to develop
technological tools suited for monitoring mining activities. More precisely, those EO
tools are in focus, which allow to monitor



the state of the environment, and the mine;
the pressures on the environment and society; and
the impacts on the environment and society.
The ultimate aim of EO-MINERS is to test the potential of cutting-edge EO methods to
provide further environmental and social information on mining in particular for nontechnical stakeholders, from local to international scale.
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2.1.
Diversity of Information Needs Related to Mining Activities
The information needs related to mining activities are very diverse between the
different scales, and the stakeholders involved (Wittmer et al. 2013a). Certain
environmental or societal issues appear predominantly on specific scales; accordingly,
also the information needs appear only there. At the same time, the stakeholders refer
to a distinct scale and thematic issue. In this respect, the entity of information needs is
related to the entity of stakeholders, which are related to mining issues.
The EO-MINERS indicators on mining activities are supposed to:



support public awareness of and social learning about issues related to
sustainable mineral resource management;
facilitate explicit consideration of the full range of costs and benefits of mineral
development;
reflect the unique goals and objectives of society, the mining sector or mining
companies.
The work package “Policy Analysis and Indicator Identification” (WP1) of EO-MINERS
has addressed the need to assess policy requirements and define criteria and
indicators to be possibly dealt with by using EO methods and tools. It aims at
identifying the information needs from governmental and non-governmental
stakeholders for the selection of appropriate EO products and the formulation of
protocols and standards in subsequent work packages (WP 2-WP 4).
Based on the results of the policy analyses (Usubiaga et al. 2012, Falck et al. 2012a,
Falck et al. 2012b, Schepelmann et al. 2012)(WP 1, task 1), specific information needs
had been derived and appropriate environmental and societal indicators developed,
assessed and selected (WP 1, task 2). These tasks were on the one hand undertaken
so as to directly feed into the “trialogue”, on the other hand they were also fed by
results of the “trialogue” process (WP 5, task 3). The results of the analyses in these
tasks defined the demand for the development of EO products and services,
respectively, in industry, public policy-making and civil society, and thus framed the
tasks in work packages WP 2, WP 3 and WP 4 (Figure 1). For quality control regarding
the EO products, which had been developed during the EO-MINERS project, the
potential usefulness for governmental and non-governmental stakeholders of the EO
products have subsequently been analysed for selected stakeholders by the following
resonance analyses (WP 1, task 3).
Local and Global indicators
Within the context of EO-MINERS, micro indicators refer to environmental or societal
issues related to single mines or mining companies, whereat macro indicators refer to
environmental or societal issues on national, regional or supranational level.
Accordingly, two different approaches for the involvement of stakeholders have been
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followed within EO-MINERS that differ in several regards. Their relationship regarding
geographic levels is shown in Figure 1. While mining site visits that address the single
mines or mine fields (micro level), respectively, include stakeholders up to the national
level, the approach taken on domestic policies address the national level, EU level and
above (macro level).
Figure 1: Spatial relationship between the geographic levels addressed by macro and micro
indicators as applied by the project EO-MINERS (Wittmer et al. 2013a).
In practice, upscaling is not simply put into practice from sub-region to region, but
across several scales. Between the local level and the national level, there are
generally one to two subnational levels, e.g. in EO-MINERS these are referred to as
district level and provincial level. However, some levels might be only relevant for
administration and not with respect to the national statistical system.
In the mining context, micro indicators refer to individual mines or mining companies,
e.g. acid mine drainage from a specific mine. Therefore, micro indicators start from
data acquisition on this level, and by bottom-up aggregation of all mines or mining
companies that comply with a certain criterion, additional indicators can be developed,
for example referring to



all mines within a district, province or country,
all mines of a company, or
all mines that explore and/or extract a certain commodity as main product or byproduct.
With regard to regionalisation, water-related indicators often refer to catchment areas
rather than administrative borders.
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2.2.
Diversity of Stakeholders
The term stakeholder means in the context of this project any organisation or person
that is related to or affected by mining activities. Within EO-MINERS, three types of
stakeholders are distinguished according to their role and perspective with regard to
mining activities:



industry,
government, and
civil society2.
In general, each group of stakeholders is represented on both supranational/EU level,
and subnational level, respectively (cf. Figure 1). The stakeholders significantly differ in
capacity and knowledge related to pressures and impacts by mining activities.
2.2.1. Industry
Industry stakeholders comprise mining companies and mining associations. The mining
companies actually perform the mining activities, while the associations represent the
mining industry as it relates to regulators and the public. In general, associations do not
represent all mining companies as the membership is voluntary.
The term is used here in the wider sense, i.e. including further industrial sectors beside
the mining sector: On the one hand, any suppliers to the mining industry (like diesel
fuel provider, security companies, and transport companies); on the other hand,
customers of the mining products (like beneficiation companies, converters, molten
metal processing etc.).
2.2.2. Government
Governmental stakeholders comprise actors with regard to governmental policies
across all levels, i.e. from supranational, national, provincial, district to local level,
regarding both policy making and policy enforcement. For example, the state agencies,
state inspectorates, state departments and its local branches, regional departments (in
the areas of geology, environmental protection, health, water affairs etc.), regional
councils, local municipalities and its specific departments (in the areas asset
administration) are covered.
The terminology of the three stakeholder groups is in line with the one of the “trialogue” process
(task 5.3).
2
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2.2.3. Civil Society
Civil society stakeholders comprise any interest groups with interest regarding mining
activities, on any scale. By nature, they differ vastly in their thematic coverage, aims,
and form and level of organisation, as they may have very different objectives and
origins. Consequently, their agendas and interests are heterogeneous. The term “civil
society” encompasses a wide range of individuals and organisations of different type,
size, and function, including non-governmental organisations (NGO), community-based
organisations (CBO), religious organisations, cooperatives, trade unions, and many
more.
2.3.
Creating an Unity – the EO-MINERS Methodology
Disparate information between stakeholders is a potential obstacle for interaction
between the mineral extractive industry and other mining stakeholders. For addressing
information imbalances between the stakeholders, their information needs need to be
worked out. Therefore, EO-MINERS started with the identification of the information
needs by industry, government and civil society. Thus, EO-MINERS reviewed
corporate policies, civil society policies as well as public policies on different
geographical levels (Falck et al. 2012a, Falck et al. 2012b, Usubiaga et al. 2012,
Schepelmann et al. 2012). The knowledge on the information needs on mining
activities then served as the basis for:


identifying indicators and parameters, which can be addressed by EO methods,
and which are to be used for the development of EO methods and tools;
identifying stakeholders to be addressed before and during the dissemination
phase at the end of the project.
The identification of indicators resulted in a set of so-called candidate indicators (cf.
Falck and Spangenberg 2013, Wittmer et al. 2013a) that would be in principle
measurable by EO methods. This led to the identification of eleven thematic groups
with 59 indicators. In a separate step, this list of was matched with the applicable EO
methods (Falck et al. 2012c). Finally, for each of the three EO-MINERS demonstration
sites, a proper subset of indicators was generated for which the development of EO
products appeared feasible within the limitations of EO-MINERS. That subset was
called the “Nottingham/Ljubljana lists”, see Wittmer et al. (2013a).
The EO products were successively refined and finally presented to the stakeholders,
which ought to assess their applicability. For this purpose, EO-MINERS aimed to
initiate and develop a sound dialogue between the three stakeholder groups involved,
based on reliable information about ecosystems and societies affected by mining
activities. This specific procedure of dialogue is called “trialogue” in this project (WP 5,
task 3). The EO products developed were presented at each trialogue workshop by a
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Resonance Analysis of
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workshop booklet (Teršič et al. 2013b), while the workshops were summarised and
conclusions drawn later on (Wittmer and Hejny 2014). The relationship between the
diverse work packages is illustrated, amongst others, in Wittmer et al. (2013a)
(ch. 1.1.1).
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3. Earth Observation Products to Answer
Information Needs Regarding Mining Activities
In most cases, indicators cannot be measured directly, i.e. by measurements without
additional data processing. In this case, the calculation of the indicator value is a
function of further input data that is called parameters (function parameters). These
parameters are then measured directly by EO tools3. Where required, e.g. for remote
sensing, the measurements need to be pre-processed by routines resulting in the
function parameters (Figure 2).
Figure 2: Relationship of indicators and correlating parameters with EO tools, EO products and
EO services (Wittmer et al. 2013a).
Figure 2 can be read in two directions. On the one hand, the specific indicators are the
starting point for the development of EO tools, EO products and EO services: The
3
In general, these measurements also include surveys, e.g. statistical surveys that include also nontechnical data acquisition.
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indicators are expressed by parameters that are measured by EO tools; in case there
are several options to select parameters and/or EO tools, the most appropriate ones
regarding feasibility and accuracy need to be selected. On the other hand, once the EO
tool has been selected, the parameter measurements support the population of the
indicators.
Successively, the data sets measured by the EO tools are converted to EO products
that are easy-to-understand and can stand alone, e.g. graphs or maps with sufficiently
detailed legends and explanatory text like fact sheets (cf. Teršič et al. 2013b). In a final
stage, the EO products can be further developed to EO services. The development of
EO services is based on EO products, but allows further employment of the data as
well as the ongoing monitoring of the relevant indicator as new data becomes
available. This includes the framing of diverse products and interconnecting the result
data; further, interactive access can be enabled by software or other solutions; this last
step towards EO services is not covered by the project EO-MINERS as the focus was
on developing EO products, and the embedding into EO services is estimated to be
time consuming.
In EO-MINERS, emphasis was put on the development of indicators as initial point, and
EO products as final point of such a procedure (cf. Figure 2). The indicators were
subsequently translated into EO products that require the measurement of the
parameters. Once measured, the parameters are displayed as (map) layers, with our
without further data processing.
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Table 1 gives an overview on the candidate indicators, the nomination on the
Nottingham List (CZ, SA) and Ljubljana List (KG), respectively (cf. Wittmer
et al. 2013a). Further,
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Table 1 indicates what EO products were actually developed per each mining site.
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Table 1 : Overview on candidate indicators, the short-list4 of indicators, and the EO products
developed5. The indicators addressed by EO products are marked grey. These were generally
on the short list of indicators; the few ones addressed by EO products in addition to the ones on
the short-list are marked “A”. Moreover, those indicators on the short-list, which have not been
addressed by EO products, are marked “S”.
Abbreviations used: Ind.Code: indicator code; CZ: Czech Republic; SA: South Africa; KG:
Kyrgyzstan.
Ind.
Code
A1
CZ
Mining land-use intensity
A2
S
Artisanal and Small-Scale Mining
A3
Residential land use
A4
Informal settlements
A5
Sites set aside, protected areas
A6
Surface water courses
A7
Recultivation success on mined-out areas and
waste/spoil heaps
A8
Candidate Indicator
Total land-use by mining and milling
KG
S
A
Areas indirectly affected and its potential use
Existence and legal status of environmental impact
assessments
A10
Waste volumes generated
B1
Erosion
B2
Total energy consumption per ton of coal /
lignite /ore produced
B3
Energy Return on Energy Investment (EROI)
Contaminant concentrations
Soil fertility of remediated mine areas*
B4
C1
C2
A
Aerosols
Volatiles
D1
D2
S
S
Air-related health impacts
Air-related soil degradation
D3
D4
S
Noise from blasting and machinery
Vibrations from blasting
D5
D6
4
A9
SA
S
S
The short-list is in the EO-MINERS project frequently called the Nottingham/Ljubljana list.
5
The referencing from EO products to indicators is possible in different ways. This illustration refers to the
referencing given in the booklets for the local trialogue (cf. Teršič et al. 2013b).
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Candidate Indicator
Hydrological balance
Ind.
Code
E1
Process waters and contaminated surface
run-off/stormwater
E2
Aqueous contaminant releases
E3
Acid Drainage Generation Potential
Seepage from engineered structures
E4
E5
Drinking/irrigation water availability
Road / rail freight volumes from/to operation sites
E6
F1
Land fragmentation by transport infrastructure
Local air, noise and accident impacts from
transport
F2
F3
Transport infrastructure quality
Accessibility due to mine-related transport
infrastructure
F4
F5
Grade of slopes
Ground stability
G1
G2
Dam stability
G3
Underground and mining waste deposit fires
G4
Flooding risks
Accidents in the mining / milling operation
G5
H1
Accidents in the operation environment
H2
Damages and accidents on neighbouring land due
to ground instability
H3
Number of jobs created
Job security (long term)
I1
I2
Contribution to regional income
Education provided
Health-care and welfare infrastructure provided
by mining companies
Civil rights in mining companies
I3
I4
I5
Civil society activism level
Mandatory contributions
I7
J1
Voluntary contributions to the community
J2
Infrastructure development
J3
Existence and effectiveness of local/regional
institutions for information management
J4
Capabilities of local and regional authorities
J5
Risk for the community
K1
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CZ
SA
KG
S
S
S
S
S
S
A
S
I6
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Candidate Indicator
Corporate vulnerability
Ind.
Code
K2
Vulnerability management cost
Damage costs
Sustainability management plan
K3
K4
K5
Prevalence of corruption
Cadastral collection of data
K6
*
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CZ
SA
KG
A
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4. Resonance Analysis
For the analysis of social response we work on the assumption that the use of EOMINERS products improves the communication competence of social systems related
to mining activities such as mining companies or policy-making entities (the European
Commission, EU Member States, other countries, regional and local authorities etc.).
The theoretical point of departure is the sociological systems theory of Niklas
Luhmann, who has described primary systems of society such as economy, law,
science or religion. Luhmann himself refers to policy-making only in total as “the
political system”. However, EO-MINERS focuses on the integration of mining-related
environmental communication – by means of indicators – into a differentiated
subsystem of the political system (e.g. a non-governmental or governmental
organisation), therefore, further specifications are required.
The functional differentiation of the primary political system is similar to the functional
differentiation of other primary systems in society. For example, Stichweh (1979)
described the similarity to the functional differentiation of the science system. Evidently,
the scientific disciplines are diverging6 although they all serve the identical primary
social purpose of gaining knowledge. Analogously, all policies have the primary
function of preparing or executing collective binding decisions (Krause 2001), although
these policies are in a constant process of functional differentiation that improves
societies´ ability to cope with a growing number of challenges. In this deliverable we
will try to trace the functional differentiation of the policy system in relation to the
environmental and social implications of mining.
In this work, we analyse the resonance by means of ecological communication as
defined by Luhmann (1990). The necessity of integrating ecological communication
arises precisely when functionally differentiated social systems (in this case
policies/social systems specialised on mining) need to adapt to ecological challenges.
This requires improved intelligence and communication (in our case earth observation
intelligence and their communication e.g. by means of indicators). A lack of ecological
communication results in policy incoherence and consequently in conflicts, as it
becomes evident that functionally differentiated policies (e.g. environmental policy and
mining policy) meet different societal functions (with differing targets).
Although this has not yet been sufficiently described by social system scientists, it
seems obvious that not only the function, but also other social system properties are
differentiated such as output, media, codes and programmes. Moreover, in certain
6
For example by developing their own functional output, media, programmes and „languages“ (codes)
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cases, single policy areas can overlap thematically (e.g. energy policy and transport
policy), however, each policy area can be described as an operative system with a
limited and differentiated social function. We therefore describe policy areas (such as
mining policy or environmental policy) as functionally differentiated subsystems of what
Luhmann referred to as the political system.
Social systems theory tends to rule out the option that differentiated social systems can
improve their ecological communication competence by specific actions over time.
Luhmann has practically excluded this possibility (Metzner 1993). He reasoned his
pessimistic view by arguing that communication (and the underlying cognitive
processes) within a differentiated social system increasingly eliminates influences from
its environment. Based on this assumption, society would only be able to learn from
“environmental shocks”, i.e. external shocks, which would eventually force the
integration of environmental communication. Unfortunately, environmental shocks often
occur when ecosystems have already started to disintegrate beyond the “watershed” of
an ecological system (Luhmann 1990).
Examples, which support the pessimistic assumption of “societal blindness” (Luhmann
2001) regarding information on environmental risk, are numerous in history, and seem
to be the rule (EEA 2001). In the area of mining there is also supporting evidence for
this interpretation.
Although sociological systems theory does not offer pragmatic solutions for this
problem, it helps to understand the underlying reasons for the problems in relation to
environmental communication. The phenomenon of functional differentiation as
described by sociological systems theory is generally undisputed (Schimank 2000),
however, this knowledge offers only little guidance for formulating pragmatic answers
to the related political problems. This tendency of a pessimistic interpretation of the
society’s disintegration might have contributed to the widespread rejection of the social
systems theory. But even in systems theory there is a concept, which does not only
stress the differences among differentiated systems, but which could be considered as
the nucleus of possible convergence and integration of policies.
Social systems usually shut themselves off against environmental disturbances (that
they interpret as noise). They are “blind” towards information, which is not directly
useful for their self-organisation. Nevertheless, even operative closed communication
systems show response to their environment. Under certain circumstances,
environmental incidents can irritate and disrupt operations of the system. If the system
is “rocked” hard enough (which is a function of the resilience of the system structure),
the system starts “swinging”. Luhmann describes this condition as resonance.
Sociological systems theory refers exclusively to communication. Accordingly, also
environmental incidents are perceived by systems theory as communication, only, that
obviously originates outside the related communication system. Therefore, resonance
does not refer directly to ecological processes, but to the communication within the
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society reflecting on these external processes. Such societal communication about
ecological processes is what Luhmann describes as “ecological communication”
(Luhmann 1990).
4.1.
Operationalising Resonance
Ecological communication indicates communication competence that is the prerequisite
for integrating environmental policy requirements into other policy areas like mining
policies. Nevertheless, in Luhmann’s publication on ecological communication, the
notion of communication competence remains rather abstract. This analysis uses
environmental indicators as expression of ecological communication.
This leads to the following hypothesis:
EO products as developed by EO-MINERS can increase the communication
competence for environmental policy concerns related to mining;
or in other words:
EO products as developed by EO-MINERS support ecological communication
within the mining sector.
Environmental indicators are usually developed by environmental policy systems in a
broad sense including beside systems of public policy also those of corporate policy
and civil society policy. Other policy systems often perceive them as external means of
control (environmental incidents). According to Luhmann, systems can only perceive
environmental incidents – and in consequence can only increase their communication
competence – in compliance with their own structure. This reaction of a system
(according to its system structure) to environmental indicators is what we refer to in this
analysis as resonance.
How could we detect or even measure societal resonance with environmental
indicators? Obviously, resonance within a social system cannot be recorded
quantitatively like the physical phenomenon of resonance by measuring the frequency
of the resonator’s vibration. Instead, societal resonance is indirectly measured as
follows: The empirical evidence of “societal vibrations” can be provided by a qualitative
description of institutions and measures in the corresponding policy area, and the
occurrence of resonance assessed semi-quantitatively.
For the execution of a resonance analysis, a relevant indicator needs to be selected at
the outset. The indicator or the environmental issue addressed by it should represent a
problem, on which sufficient knowledge about the causal problem chain(s) exist for
assuming political salience (for example CO2-equivalents as a pressure indicator
referring to the problem of climate change). In addition, the plausibility of a societal
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differentiation according to the problem should be preliminarily assessed on a metalevel. If societal resonance can be assumed, it can be tested whether and to which
degree functional differentiation on the different levels (international, national, regional,
etc.) and sectors (mining sector, environmental sector, civil society sector etc.) of
governance takes place.
Summarising, Luhmann’s abstract concept of ecological communication can be
operationalized by means of environmental indicators. Societal resonance with these
indicators, and the environmental issues they address, can be measured by describing
issue-specific functional differentiations (e.g. differentiations, which have the function of
achieving causally related environmental objectives) and their actions on the different
governance levels.
Positive Resonance
It should be noted that resonance is not identical with acceptance. According to
Luhmann (1990), the term resonance is not restricted on the amplification of
information, exclusively, but generally is a neutral phenomenon that corresponds with
the amplification, the distortion or the buffering of information, in this case
environmental information. In any case, it implies an interpretation of information
according to a system-specific code.
In other words, resonance occasionally does not correspond to acceptance, but to
ignorance or even resistance. For example, specific policy networks (e.g. networks in
the mining sector) might behave conservatively by resisting to structural adaptation to
environmental challenges (Benz and Fürst 2002). Although an analysis of resonance in
such a wide sense (resulting in resistance rather than acceptance) would be a policyrelevant application of the resonance concept, this study concentrates on resonance
related to acceptance (“positive resonance”) linked to the societal ability to plan and
implement target-oriented action to reduce environmental pressure or impact,
respectively. Given the scope as described above, resonance analysis is not a
methodology for a “technical evaluation” of EO products as developed by EO-MINERS;
but rather for assessing the potential of EO-MINERS output to positively influence
those factors and causalities, which are supposed to be represented by an
environmental indicator.
4.2.
Applying Resonance Analysis in EO-MINERS
Societal resonance with indicators means that a group or network of stakeholders
establishes a policy, which is functionally-related to the indicators respectively the
political objective they refer to. For example, the indicator “greenhouse gases”
(expressed in CO2 equivalents) refers to the objective of reducing greenhouse gas
emissions. The degree of resonance will be semi-quantitatively determined by relating
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empirical evidence of functional differentiation to the different phases of the policy cycle
(Figure 3).
problem analysis
target setting
development of options
choice of options
implementation
evaluation
optimization
Figure 3: Policy cycle with its clock-wise sequential order of phases: policy cycle phases
indicated in the box, from top to bottom, refer to the ringlike diagram “around the clock”, from
one o´clock onwards
The degree of resonance with an indicator can be expressed by the number of phases
which have been reached (i.e. positively influenced) by a matching policy. Low degrees
of resonance are realised in a specific policy when no or only very few phases have
been reached; in this case it is usually limited on the early phases of problem analysis
and target setting. In contrast, the maximum degree of resonance is realised when all
phases of the policy cycle have been reached; we would call this state a “mature
policy”.
The resonance analysis requires a certain understanding of the relation between meta
and meso level of the society and economy. According to Esser et al. (1996), values
and concepts on the meta-level drive and motivate successful policy development that
is usually driven by actions on the meso level. This understanding has already been
successfully tested by an analysis of resonance (Schepelmann 2005). Also in the
mining context investigated by EO-MINERS, a general analysis of policies in civil
society, governments and companies needed to be acquired on the meta level (Falck
et al. 2012a, Falck et al. 2012b, Usubiaga et al. 2012, Schepelmann et al. 2012), in
order to be able to collect empirical evidence in the test sites on the meso and micro
level.
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4.3.
Collecting Evidence on Resonance in EO-MINERS
Several methods of collecting evidence on policy development have been identified:
(a) internet search;
(b) interaction (e.g. interviews, trialogue) with governmental and non-governmental
stakeholders;
(c) the screening of formal and informal publications (brochures, working papers
etc.); and
(d) the screening of scientific literature (as secondary literature).
Internet Search
The internet has proven to be a useful tool for resonance analysis on the meso-level of
societal networks (Schepelmann 2005), due to several reasons. A central objective of
meso policies is the creation of internal and external relations of governmental and
non-governmental stakeholders in order to develop a functionally differentiated societal
system, i.e. a functioning policy network. In democracies, governmental and nongovernmental institutions, respectively, typically support the creation of these public
relations by launching diverse public-private platforms that – amongst others –
institutionalise information exchange and public discourse. Public-private platforms can
be run in different ways. There is no systematic overview on the today variety of policy
networks; however, the functional differentiation of the societal system seems overall to
evolve increasingly. Any of these policy networks have in common, amongst others,
that they are usually accompanied with communication that can be traced in the
internet. As the internet has steadily gained importance for the exchange of
information, it has an outstanding role for collecting evidence on the functional
differentiation of the societal system with regard to the environmental issue.
Compared to the internet, the alternatives mentioned above turn out to be inferior as
they tend to be laborious and time-consuming. Furthermore, the internet is becoming a
widely used means to disseminate formal and informal publications as well as scientific
literature. In societies where the use of electronic communication is advanced, internet
search-engines can therefore be very useful in detecting formal and informal policy
networks. However in areas where access to electronic communication is more limited,
interaction via interviews, workshops etc. remain an important means to ensure
inclusive access to communication channels.
Furthermore, the internet is superior compared to other sources of information with
regard to the timeliness of the information. Active networks or platforms usually update
regularly, thus the information provided there is rather up-to-date, and more complete
than enquiries by off-line ways. The drawback is that this information is subject to
continual alteration. Actually, the volatility of this methodology reflects the changing
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reality that it aims to analyse: Indeed, meso-policies are usually complex processes of
searching and learning. They are often influenced by spontaneously changing political
notions, priorities and stakeholders. The resonance analysis can therefore reflect
currents in society that change, increase, decrease or disappear over time.
There is a risk that enquiries limited on the internet mean a certain filtering of
information as not all information is available by internet and as it accesses only
specific strata of the society, in particular in countries like South Africa and Kyrgyzstan
where the internet has only saturated parts of the society.
In summary, with the amount and quality of information found in the internet, in
combination with analogue interaction (interviews, workshops etc.), it is usually
possible to reproduce sufficiently the degree of functional differentiation of the societal
system.
Interaction with Stakeholders
Where appropriate and possible, the validity of the web-based research should be
corroborated by interaction with stakeholders. In EO-MINERS, two parts may be
differentiated:


the dialogue between three groups of stakeholders, in EO-MINERS called
“trialogue”;
interviews with stakeholders.
The interviews with stakeholders include actions carried out in EO-MINERS, work
package 1, like the interview campaigns to identify the stakeholders involved and the
information requirements from different policies (Falck et al. 2012a, Falck et al. 2012b,
Usubiaga et al. 2012) including site-specific requirements, will on their part serve as
input to the trialogue activities. The same applies to all activities on collecting
information based e.g. stakeholder interviews or returned questionnaires (task 1.2).
The trialogue7 is a structured dialogue between the three stakeholder groups involved
into or affected by mining activities, namely stakeholders of the industry, the
governmental organisations, and the civil society (NGO etc.). It assists towards the
reconciliation of differing interests in order to reach agreement upon actions to deal
with environmental and social impacts of mining activities. The data necessary to do so
require being reliable and objective. They can originate from EO products (as e.g.
developed within EO-MINERS), or from publicly available information sources. Such
EO products aim to characterise the effect on ecosystems, populations and societies
Trialogue is “an interchange and discussion of ideas among three groups having different origins,
philosophies, principles, etc.” (Webster's New World College Dictionary)
7
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(cf. chapter 3) and become an objective and indisputable basis for a sound “trialogue”
between the stakeholders involved8.
In the evaluation process we need to distinguish individual local and overall European
conditions. On local level, this exercise will result in a kind of description of the current
situation specific for the particular site. On European level, it determines the way of
presenting the project contribution to policy developments. As such, the EO-MINERS
trialogue comprises of the following contributions (Figure 4):

“European trialogue”, i.e. trialogue related the European level; and

“local trialogue”, i.e. trialogue related to each of the mining sites under
investigation.
Figure 4: The EO-MINERS trialogue and its components
The results of the trialogue workshops are each compiled by a workshop summary
report (Wittmer and Hejny 2014, Wittmer et al. 2013b, Wittmer et al. 2013c, Wittmer
and Kylychbaev 2013).
The scope of this study does not allow analysing the resonance of indicators on mining
policies in great detail, but rather shows the applicability of the method on mining policy
that, in many respects, is a specific and rather self-contained field of policy. In addition,
the fact that the delivery of the EO products developed by EO-MINERS is temporally
8
cf. Trialogue Methodology Paper v3.0, 2012
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too close to this study (they were presented to the stakeholders via the local trialogue
workshops) means that resonance could not fully develop. Furthermore, the EOMINERS project did not exist in a vacuum and attempted to respond to the
environmental and societal issues identified by stakeholders during interviews.
Consequently, policy response to these issues results from existing concerns as well
as the results of EO-MINERS. Accordingly, the resonance analysis is not a pure ex
post analysis, but also applies certain ex ante elements where this is considered useful
for the scope of the study. Consequently, interpretation of the results requires care.
Nevertheless, the suggested internet-based methodology allows a sufficiently
representative overview on the degree of differentiation concerning selected aspects of
environmental issues related to mining activities. As the development of most of the EO
products focused on environmental issues rather than societal issues, the resonance
analysis is also focused on environmental issues. The societal responses are not
portrayed in total, but outlined by the most important features that show resonance with
the EO products in question in order to indicate the existing functional differentiation.
4.4.
Local and EU Case Studies
The resonance analyses carried out by this study refer to the policy relevance of the
environmental issues related to mining activities, which were addressed by the project
EO-MINERS. For practical reasons, the resonance analyses could not be executed for
all EO products, but had to focus on few selected ones, i.e. one referring to the local
level (South Africa), and one to the EU level.
The actual selection of the EO product for the resonance analysis on the local level is
based on the policy analysis completed beforehand (Usubiaga et al. 2012), the
estimated quality of the individual EO products, and the experiences from the local
trialogue workshops9 that took place between March and June 2013 (Wittmer
et al. 2013b, Wittmer et al. 2013c, Wittmer and Kylychbaev 2013).
The resonance analyses are presented as follows:


Chapter 5 deals with the resonance analysis on the aerosols in the eMalahleni
coalfield (indicator D1);
Chapter 6 investigates the resonance perceived on unused extraction at the EU
level.
9
The trialogue process of the project EO-MINERS addresses two levels: the local trialogue that provides a
number of concrete EO products for each mining site; and the EU trialogue that aims to contribute to the
communication on a selected environmental issue. This issue is the accounting of the “unused extraction”
of mining, and the potential of EO tools to contribute.
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5. European Union
Sustainable development is a key driver of resource policies. However, the relevant
differences between the policy frameworks at international and at EU level require
emphasising the different aspects of what the production and consumption of raw
materials entail. Hence, different policies have been issued and targets been adopted,
requiring different information, intelligence and indicators.
At the EU level, policies are more related to the security of supply. The EU has little or
no reserves of several minerals, which are essential for the development of its
economy (e.g. platinum, palladium, rhodium, rare earths, among others), and it is thus
dependent on mineral-supplying third countries. Some of these resources are
economically essential, for instance, with regard to the high-tech industry. The
insufficient domestic extraction that causes insufficient domestic supply by several
minerals reasons the high political interest and as a consequence several policies in
the area of raw materials. In fact, emphasis is put within EU raw materials policies to
secure sufficient imports of scarce raw materials and/or minerals to the EU, e.g. the
Raw Material Initiative (RMI). The RMI also seeks to address scarcity by further means,
i.e. by fostering sustainable supply of raw materials from European sources and by
reducing the EU´s consumption of raw materials. In addition, there are environmental
policies aimed at promoting resource efficiency and a sustainable management of
resources along their whole life cycle (e.g. the Action Plan on Sustainable
Consumption and Production and Sustainable Industrial Policy and the Thematic
Strategy on the Sustainable Use of Natural Resources) or supporting the objectives
adopted at the international level.
The combined consideration of (a) “fostering sustainable supply of raw materials from
European sources”, and (b) the environmentally related promotion “of resource
efficiency and a sustainable management of resources along their whole life cycle”
emphasise the relevance of “unused extraction” as one of the few indicators, which
address explicitly the environmental pressures related to those part of the extraction
that never enter the economic cycle.
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5.1.
Resonance Analysis on Unused Extraction
Preamble: The resonance analysis refers to the reporting on “unused extraction”. This
comprises the economy-wide material flow analysis (EW-MFA) indicator of the same
name, but also relates to possible other reporting on this theme.
Problem Analysis and Agenda Setting
The flagship initiative “A resource-efficient Europe” in the context of the
Europe2020 strategy, moves the extraction and use of natural resources in the centre
of the political agenda of the European Commission. “A resource-efficient Europe” is
the seventh and last of the Europe 2020 flagship initiatives which aim at building smart,
sustainable and inclusive growth for Europe. It establishes resource efficiency as the
guiding principle for EU policies on energy, transport, climate change, industry,
commodities, agriculture, fisheries, biodiversity and regional development. The flagship
initiative connects policies related to minerals such as the “Roadmap for a resource
efficient Europe” and the “Raw Materials Initiative” as well as the “Raw Materials
Innovation Partnership”. In the Communication on the flagship initiative the European
Commission states that “indicators are needed to cover issues such as the availability
of natural resources, where they are located, how efficiently they are used, waste
generation and recycling rates, impacts on the environment and biodiversity.”
One of the building blocks of the flagship initiative “A resource-efficient Europe” is the
European Commission's Roadmap to a resource-efficient Europe10. It builds upon
and complements the other initiatives under the resource efficiency flagship, the 2005
Thematic Strategy on the Sustainable Use of Natural Resources and the EU's strategy
on sustainable development. It sets out a vision for the structural and technological
change needed to put Europe on a path to resource efficient and sustainable growth by
the year 2050 and defines milestones to be reached by 2020.
While the extraction process is addressed explicitly in the Roadmap, the issue of
unused extraction has not been addressed specifically.
Target Setting and Evaluation
Indicators have an important role in the target setting of the EU policy. “The European
Commission is working to ensure that appropriate indicators are available for
monitoring and analytical purposes on the basis, for example, of the sustainable
development indicators” (European Commission 2011a).
Similar to the Thematic Strategy, the Roadmap proposes ways to increase resource
productivity and decouple economic growth from resource use and its environmental
10
COM (2011) 571
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impact. The Commission conducted a stakeholder consultation in 2012 and 2013 to
define the right indicators and targets for guiding actions and monitoring progress. The
setting of the related set of indicators is described by the Roadmap and its annex 6.
The consultation paper “Options for RE Indicators” shows the intention of the European
Commission to use a combination of environmental indicators. “Resource Productivity”
(GDP divided by DMC) will be the lead indicator. It will be supported by indicators on
land and water use, and GHG emissions as a proxy for negative impacts on the
environment. Global indicators will be added when available, together with indicators
on natural capital and environmental impacts, to complete a comprehensive "resource
efficiency dashboard". On this third level of thematic indicators, “minerals and metals”
are indicated as key area that needs to be covered. For the material use, the resource
use-oriented indicators are DMC and RMC that are both are already published by
official statistics (environmental accounting). Unused extraction, however, is not
referred to at this stage in the stakeholder consultation and/or its draft scoreboard.
“For assessing the performance of the European Sustainable Development
Strategy, the Commission uses more than a hundred indicators. The so-called
Sustainable Development Indicators (SDI) are – like the above-described Resource
Efficiency indicator set – organised as a three-level pyramid, however, additionally
complemented with contextual indicators. The setting of this indicator set is described
by the EC communication "Sustainable Development Indicators to monitor the
implementation of the EU Sustainable Development Strategy”11. With regard to the aim
of EO-MINERS, the headline indicator for Sustainable Consumption and Production
(SCP) is the most relevant one. The SCP-indicator measures resource productivity
defined as Gross National Product (GDP) divided by Domestic Material Consumption
(DMC). It is identical with the lead indicator of the Resource Efficiency indicators (see
above). One operational objective of the theme “SCP” is “Resource use and waste”
that makes use of further specific DMC indicators (components of DMC) as explanatory
variables (http://epp.eurostat.ec.europa.eu/portal/page/portal/sdi/indicators/theme2).
The DMC is an indicator based on Economy-Wide Material Flow Accounting (EW-MFA)
and measures the direct resource input into the European economies minus the
exports. An overview on important Economy-Wide Material Flow Indicators is given by
Table 2. The regulation on European Environmental Economic Accounts12 emphasizes
the importance of Economy-wide Material Flow Accounting for the EU, including the
accounting for domestically extracted and imported minerals (Table 2).
11
Regulation (EU) No. 691/2011
12
PE-Cons 11/11
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Indicator
Table 2: Macro-economic indicators for material flows.
Formula
Subject
Total Material
Requirement (TMR)
DMI + indirect flows
Domestic and imported resources including their ecological
rucksacks, which are required for domestic production and
consumption.
Total Material
Consumption (TMC)
TMR – (exports +
indirect flows of
exports)
Domestic and imported resources including their ecological
rucksacks, which are required for domestic consumption only
(excluding exports).
Direct Material Input
(DMI)
Domestic material
used + imports
Domestic and imported resources without ecological rucksacks,
which are used for domestic production and consumption.
Domestic Material
Consumption (DMC)
DMI - exports
Domestic and imported resources without ecological rucksacks,
which are used for domestic consumption only (excluding exports).
EW-MFA also plays a central role for the Thematic Strategy on the Sustainable Use
of Natural Resources (European Commission 2005a). The strategy aims at
decoupling use of natural resources and their environmental impacts from economic
development. For the strategy the European Commission intends to develop indicators
that would allow the measurement of efficiency and productivity in the use of natural
resources, and resource-specific impacts. Currently, EW-MFA provides at macro level
the basis for measuring overall consumption of natural resources.
In 2008 the European Commission launched the Raw Materials Initiative. Currently,
there are no indicators used to monitor the effectiveness of the initiative. Already in
2000, the Raw Materials Supply Group13 launched a voluntary process in response to
the call of the Commission on the need of indicators to monitor the performance of the
non-energy extractive industry within the EU. The set of selected indicators comprise
13 company-level indicators and seven Member State-level indicators. Nonetheless,
the lack of legal base made impossible to collect all the necessary information to
develop the indicators at Member State level (Anciaux 2005, Raw Material Supply
Group 2006).” Of these indicators, only the member state level indicator “material
demand” (expressed in material demand per capita) relates to the material flows
accounting scheme.
In its conclusions of December 2011 the European Council “invites the Commission to
continue to work in close cooperation with Member States and all other relevant
stakeholders and to develop by 2013 a proposal for an appropriate set of resource
efficiency indicators, taking into account the life-cycle perspective, potential
environmental burden-shifting to other regions or between resources, and social
13
The Raw Materials Supply Group consists of representatives from Member States, candidate
countries, industry federations, trade unions and NGO. It discusses and exchanges information
on issues of sustainable competitiveness that affect the EU non-energy extractive industry.
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aspects, as well as the work done by, among others, the EEA, OECD and UNEP, and
to define a process for considering potential resource efficiency targets in close
cooperation with Member States and other relevant stakeholders”. In a first reaction
Euromines, the recognized representative of the European metals and minerals mining
industry, has already signalled, that “’economy wide material efficiency could be a
useful concept to provide a snapshot of the status of the EU economy as a whole” 14. It
also supports the concept of a complementing “dash-board” of indicators in order to
assess trade-offs that are required to achieve Resource Efficiency.
In February 2013, the European Commission launched the “European Innovation
Partnership (EIP) on raw materials. The partnership brings together Member States
and other stakeholders (companies, NGO, researchers etc.) to develop joint strategies,
pull together capital and human resources and ensure the implementation and
dissemination of innovative solutions within Europe. The EIP on raw materials will
tackle the entire value chain of raw materials, including exploration, extraction, refining
and processing, sorting, collecting and recycling, as well as substitution. After the
Partnership became operational, a Strategic Implementation Plan has been developed.
To speed this process up, the Commission proposes concrete targets to be achieved
by 2020 at the latest, which also relate to the generation of intelligence and indicators
on sustainable minerals extraction, including European standardized statistical
instruments for the survey of resources and reserves, a 3-D geological map as well as
a dynamic modelling system linking trends in supply and demand to a full lifecycle
analysis.
The regulation on European Environmental Economic Accounts of November
201115 makes Economy-wide Material Flow Accounting mandatory in the EU27. The
new legislation requires EU countries to harmonise national reporting data on air
pollution, green taxes and raw material flows in order to build up Europe-wide
"environmental economic accounts". For their material balance sheets, Member States
are asked to produce statistics on EW-MFA for all solid, gaseous, and liquid materials,
except for flows of air and water, measured in mass units per year. The module for
Economy-wide Material Flow Account (EW-MFA) is described in Annex III of the
regulation and reveals the high relevance for domestically extracted and imported
minerals.”
It has been shown that EW-MFA supports already for several years the setting of EU
policy targets. EW-MFA provides at macro level (member states, EU) the basis for
measuring overall consumption of natural resources. Where necessary, this can be
assessed for total material flows or specific material categories. The usefulness of EW-
14
Position on Resource Efficiency, available at www.euromines.org
15
PE-Cons 11/11
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MFA, of which “unused extraction” is a part of, for target setting and the related
evaluation has been confirmed by its inclusion into several indicator sets that address
resource efficiency, but also by the mining industry (Euromines). “Unused extraction”
so far is not reported officially, mainly due to limited availability of data, but current
discussions at all policy levels show the interests in how this dimension can be
included into purposeful target setting and evaluation.
Not Present or Only Rudimentary
The policy cycle stages “Development of the Options for Action”, “Selection of the
Options for Action”, “(Policy) Implementation”, “Performance Review (evaluation of
policy actions)”, “Optimisation” do not show significant impacts/influences due to
reporting on “unused extraction”.
5.2.
Evaluation
At the macro level, material flows get reported by an established set of EW-MFA
indicators. The reporting of “unused extraction” at the macro level is possible by EWMFA the indicator of the same name. Resonance in the policy cycle has been generally
shown by the inclusion of resource issues into policy documents, but also specifically
by the inclusion of EW-MFA indicators on various EU indicator sets, namely those that
address resource efficiency explicitly. We have also shown significant influence on the
Problem Analysis and Agenda Setting. This can be reasoned by the fact that target
setting, or more general speaking: indicator development, necessarily requires
precedent discussions on what shall be measured for what purpose etc. (cf. Wittmer
et al. 2013a, Falck and Spangenberg 2013).
So far, EW-MFA has not been used for the Selection of the Options for Action. This
could indicate that more advanced and/or resource-specific (in this case: ore type etc.)
monitoring would be required/useful for certain stakeholders. Accordingly, the influence
on the Selection of the Options for Action is not significant.
Policy implementation on the field of “unused extraction” in the area of mining has been
performed by mining waste regulation; however, there is no link between mining waste
regulation and EW-MFA reporting. A reason for this can be that waste statistics are
developed basically independently from material flow accounting and this separation
lasts until today.
A performance review is not possible at this stage as no actions have been taken that
explicitly address the improvement/reduction of unused extraction in the EU.
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6. South Africa
Firstly, the plausibility of a societal differentiation according to the problem of air
pollution will be preliminarily assessed on a meta-level (chapters 6.1.1 and 6.1.2). If
societal resonance can be assumed, it can be tested whether and to which degree
functional differentiation on the different levels of governance (international, national,
regional, etc.) takes place (chapter 6.1.3). Then, the results of the resonance analysis
are applied for an evaluation of approaches to mitigate impacts caused by air pollution
in eMalahleni, enhanced by an outlook on strategies that look promising for local
stakeholders (chapter 6.2).
6.1.
Resonance Analysis on Aerosols in the eMalahleni Coalfield
Scope of Analysis
Resonance analysis is accompanied by a qualitative description of institutions and
measures in the corresponding policy area. For the execution of the resonance
analysis in South Africa, an indicator had to be selected at the outset, which addresses
an environmental area that is announced to be of relevance for the society and
economy. It further should represent a problem, on which sufficient knowledge about
the causal problem chain(s) exist for assuming political salience. The indicator selected
is “Aerosols – particle concentration in off-site air” (indicator D1); it belongs to the
thematic area “air quality and other nuisances” (D) that contains altogether six
indicators that relate to air emissions, or noise/vibrations. The selected indicator D1 is
specified by the list of local candidate indicators (cf. Falck and Spangenberg 2013,
Wittmer et al. 2013a) as follows:
D1
Aerosols – particle concentration in off-site air
Aerosols, dust, in itself constitutes a nuisance or a health hazard, in particular if they
contribute to high concentrations in in-house air, e.g. in worker dormitories. At the same
time it can be an indicator of the quality of operational and residues management.
This indicator refers to the problem of air pollution caused by mining and related
activities16. “Aerosols are an environmental impact that is frequently observed in areas
16
In the South African study area, the primary commodity mined is coal. This has led to the development
of a complex of mines and related industrial, power generation and metallurgical plants, all emitting
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with heavy industrial activities. It is one of the most important factors that determine the
air quality of a region and thus are directly related to the quality of life for people, but
also to the health of flora and fauna. Wind can transport the aerosols from the place of
pollution to other, even remote areas. Further, a key strategy to minimise the
environmental impacts is the dilution of the aerosols on a larger air volume, e.g. by high
chimneys, dust control etc. Consequently the areas affected can vary from local to
regional pollution, i.e. from a few tens of metres to tens of kilometres.”
“Regarding the impacts on humans, two health effects are distinguished:


direct impacts of fine particles that cause harm on the respiratory system. Here
the particle size is the key variable.
toxic effects caused by the intake of toxic substances into the organism. Here
the chemical composition, the release of harmful substances and the resulting
concentration at the target organism are the key variables.
The particle size is commonly determined by particle matter classes (PMxy) of the dust,
and rather easy to measure, whereat the chemical composition can only be determined
by complex and costly chemical analyses, dependent on the required coverage and
accuracy of measurements of airborne particulate samples.”
Of all indicators, the environmental issue related to this indicator has been mentioned
by most stakeholders; in particular, the group of civil society stakeholders expressed
strong demand for information on this environmental issue (Wittmer et al. 2013a).
In eMalahleni, this problem is of special importance because on the one hand coal
mining and processing is accompanied by the emission coal dust, and on the other
hand the eMalahleni area shows one of the major coalfields of the world with numerous
large-scale and small-scale mines, and several coal burning industrial, metallurgical
and power generation plants. Further, it is a relatively frequent phenomenon in the area
of eMalahleni that dense smog appears in winter that causes strong odour nuisance,
danger for road traffic (“pea soup fog”), and potential threat for lung diseases. Smog, or
smoky fog, commonly occurs when large amounts of coal are burned in an area and
thus soot particulates, sulphur dioxide, and other contaminants are abundant.
A limitation of the interpretability of the traditional measures for this indicator is that
they are based on a cumulative measurement that reflects any particles at a given
measuring point without differentiating the source of the particles. For example,
samples of aerosols do basically not reveal whether they were emitted by coal-fired
power plants, other heavy industry, or brake dust etc., however, the correspondence of
their chemical composition, if measured, with typical dust types, and the distance of
known major dust emitters (point sources) enable qualitative assessments.
particulate pollution. The air pollution is therefore related to activities based on the local abundance of coal
(mining, smelting, combustion etc.), but not exclusively a result of mining.
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Selection of the EO product
A key target of EO-MINERS is to develop EO products that address the information
needs of the different stakeholders. Twelve environmental areas (and accordingly the
corresponding indicators) were nominated on the final “short list of indicators”17 as
areas that should be preferably addressed by the EO products (Wittmer et al. 2013a).
EO products for eight of them, plus an extra one, were developed and presented at the
Local Trialogue Workshop in eMalahleni in April 2013 (Wittmer et al. 2013b)18, whereat
some EO products have triggered intense discussions among the workshop
participants.
“Aerosols”, i.e. indicator D1, showed one of the most intense discussions. Further, the
Council for Geoscience (CGS) has confirmed this snap-shot impression with its longtime experiences at the eMalahleni coalfield. The Slovenian Geological Survey
(GeoZS) introduced street dust sampling to the EO-MINERS project (Žibret
et al. 2012). The method uses hard surfaces – typically tarred roads or horizontal
concrete surfaces – as accumulators of dust and studies the metal content of the
accumulated dust. This allows the identification of dust sources, based on chemical
fingerprinting as well as an assessment of the potential hazard posed by dust, but does
not have temporal resolution or look at the pathways by which these metals could be
absorbed by human or other environmental receptors. As such, it offered a new
dimension to the existing dust monitoring activities in the area (DEA 2008), which have,
up to now, focused on particulate load monitoring (DEA 2011). The results obtained in
this study were able to fingerprint sources of pollution as well as to identify the
fallout areas related to these sources. Following the related presentation at the Local
Trialogue Workshop in eMalahleni in April 2013 (Teršič et al. 2013a, Wittmer
et al. 2013b) and a short period of interest by the local and national media, a second
presentation of these results was requested by the Directorate for Air Quality at the
Department of Environmental Affairs.
Environmental indicators can be structured with regard to a causal chain (EEA 2003).
The DPSIR framework, a common framework developed by the European
Environmental Agency and frequently applied, differentiates, amongst others, the
environmental pressure, the environmental state, and the environmental impacts.
17
This list is internally also called the „Nottingham list“.
18
The EO products developed for eMalahleni covered the thematic areas of land use (A1, A4+A5, A6), air
quality and other nuisances (D1), water quality (E4), transport (F2), and geotechnical hazards and
accidents (G2, G4), while the EO product addressing indicator A4 concurrently addressed indicator A5
(Wittmer et al. 2013b).
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Actually, the meaningfulness of this indicator for the eMalahleni coalfield was in a
sense already anticipated by the list of EO products. Four EO products have been
developed in parallel in order to be able to give consideration to the variety of toxic
substances that are involved by the aerosols issue (Teršič et al. 2013a):
i.
ii.
iii.
iv.
Distribution map of antimony (Sb) dust contamination;
Distribution map of chromium (Cr) dust contamination;
Distribution map of vanadium (V) dust contamination;
Distribution map of barium (Ba) dust contamination.
Obviously, the measurements do not measure exactly what the indicator name implies.
While the indicator name “Aerosols (particle concentration in off-site air)” refers to the
environmental state of the area, the EO product developed addresses the
environmental impact in a wider sense, indicated by measurements of the metal
concentrations in street dust. The dust particles collected at the measuring points
reflect the accumulated metal concentration in particulate matter that collects on
surfaces in the area of interest, and is there retained until the measurement date. The
advantage of the street dust measurement technique in the context of the EO-MINERS
project is that it provides a semi-quantitative indicator of cumulative environmental
impact19 from a single sampling campaign, in contrast with traditional particulate
monitoring programmes which require frequent monitoring over long periods of time.
The above-mentioned shift from measuring environmental state to environmental
impact is based on practical reasons, and the availability of measurement techniques
within the EO-MINERS team. Also, the names of the indicators were so far considered
as environmental issues, rather than literally defining concrete measurable indicators.
Scope of the EO product
The EO products that relate to the indicator “Aerosols” (D1) are presented under the
heading “dust pollution” as four separate distribution maps on Sb, Cr, V, Ba (from left
top to bottom right).
19
Experts state that such kind of measurement reflects a dust accumulation over about the last six
months.
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Figure 5: The EO product “Dust pollution” for the eMalahleni area: four discrete maps on the
heavy metal contents of Sb, Cr, V, and Ba
This EO product shows the content of four metals, with the potential to cause health
and environmental impacts as well as being characteristic of different activities within
the study area, measured in street dust samples in the eMalahleni area. The samples
were collected in February 2011 (Teršič et al. 2013a). The individual circles show the
measuring points, while the colour indicates the metal concentration in the street dust.
Measurements were taken along the roads because of the accessibility of the
measuring points, and the comparability between different types of measuring points.
“Street dust is a complex mixture of different materials of both natural and
anthropogenic origin. Dust particles of natural origin include soils, volcanic ash, pollen,
plant remains and smoke from forest fires. Anthropogenic dust particles can originate
from weathering and abrasion of man-made materials (e.g. asphalt, concrete),
demolition or construction activities, metal and energy production (e.g. smelters, coalburning power stations), agriculture and road traffic (e.g. wear of brake pads and tyres,
fuel combustion).
Dust produced through these various mechanisms is first released into the atmosphere
before being deposited at street level and then subsequently remobilised by wind or
passing traffic, for example. As a result, street dust particles are often contained in the
breathing air. However, street dust contains beside “inert” substances also toxic
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metals, especially in urban environments and close to industrial areas and busy roads.
Accordingly, such dust containing high levels of toxic metals can pose a health risk,
particularly to young children, because such metals can easily enter into the blood
stream through the ingestion or inhalation of the relatively fine-grained dust particles.
Furthermore, some of these toxic metals are easily dissolved in water; the runoff
produced following a rainy period can lead to contamination of the surface water and
potentially harm aquatic life. By analysing the chemical composition of the deposited
street dust, we are able to identify its potential source (vehicles, coal-fired power
plants, households etc.).”(Teršič et al. 2013a)
Availability of the EO product
This EO product is available as poster in interactive portable document format (pdf-file)
at the EO-MINERS website20 showing the four metals by separate maps. In general, for
each sample a chemical analysis has been performed that measures the
concentrations of the four metals, thus, the four maps are identical with regard to the
measuring network.
For enhancing the interpretability, the map shows in addition different road classes,
and point sources like smelting plants (Cr, V), power stations (Ba), and fly-ash dumps
(Ba).(Teršič et al. 2013a)
Feedback by stakeholders on the EO product
The discussions during the trialogue workshop in eMalahleni revealed two issues of
increased interest. “Firstly, the scope of the project did not include the exploration of
linkages between the research findings, i.e. the high element concentration, and
human health. However, recommendations and suggestions from researchers were on
the possible use of the research findings to initiate studies exploring the dynamics
between chemical environmental contamination and the local disease prevalence. The
complexity on aspects around assessing the relationship between contamination and
human health were identified as involving exploration of the pollution pathways. WHO
standards on the quantity of contaminant exposure such as metals are known as well
as their effects on humans exposed to them. However, the quantities of contaminants
that are incorporated, and to which effects, in this area, have not been analysed.
Analysis can be done by testing and analysing the local human blood concentrations,
comparison to WHO standards and the ADI (acceptable daily intake) values etc. The
CGS confirmed its informal engagement with the Medical Research Council and
explores how that relationship can help to investigate this linkage.
Secondly, it was discussed how the EO-MINERS project could benefit the inhabitants
of the area. The focus of EO-MINERS was rather to identify the sources of pollution
20
accessed on 01.07.2013
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from street dust samples than how to make the best use of the research findings to
local people. The pollution pathways and receptors were not identified by use of the
street dust data. It was deemed as important to study explore thoroughly the linkages
between existing impacts and health issues, in order to provide this knowledge to
stakeholders as a basis to start policy action.”(Wittmer et al. 2013b)
“On the policy part, the interconnection with the “polluter pay principle” was discussed
where stakeholders asked if the data can be used to legally hold past polluters
responsible. Results from street dust data gives insight into the emissions of the last
half year. The time frames for validity of the data for house dust and field dust are
different. It is a fact that dust collection does not provide longer range time series as
sediments might do. A time series of data gathering that would start now, but cannot
get backdated, would not allow conclusions further back than 2011 when the
sedimentary deposition of the dust began. In addition, the change of ownership of
emitters would mean additional limitations with regard to interpretation.”(Wittmer
et al. 2013b)
In the follow-up of this trialogue workshop, there “were publications in the electronic
and print media on the street dust finding on the day after the eMalahleni workshop.
The media reports misrepresented the finding, misinterpreting the statement that the
dust collected on the streets in the study area had shown the highest levels of
chromium and vanadium reported in a relatively limited data set collected world-wide
using this method. This situation was responded to be the local partner, the Council for
Geoscience (CGS) who attended to the issue and attempted to clarify the research
findings. This was done in cooperation with the relevant regulator, the Air Quality
Directorate of the Department of Environmental Affairs. A follow-up workshop with the
regulator was held to report the findings and further clarify the issue.”(Wittmer
et al. 2013b)
Procedure of Resonance Analysis
The manageable capacities available for this subtask necessitated a pragmatic
approach for the procedure of the resonance analysis. This means that no additional
investigations were possible to acquire further information, but only information that
was ready-to-use from the project could be used.
The resonance analysis on the aerosols in the eMalahleni coalfield includes the
exchange with stakeholders in the field of environmental policy and environmental
science, which are related to the topic, by an extra workshop that was executed by the
Council for Geoscience on 28.08.2013 and at which the dust measurement method of
EO-MINERS and the results were discussed with the Department of Environmental
Affairs (DEA). In contrast to the trialogue workshop in June 2013, this follow-up
workshop aimed primarily on concrete improvements with regard to:
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

the inclusion of chemical parameters, which could contribute to environmental
hazard, in airborne particulate monitoring;
strengthening the existing initiatives to tighten the legal framework regarding
this environmental issue.
6.1.1. Meta and Macro Level: Policies and Indicators on Air Pollution
Air pollution is considered as one of the key environmental issues that have
consequently been addressed by discrete specific environmental policies at the
international, national, and subnational level.
International Policies
At the international level, the UN Framework Convention on Climate Change
(UNFCCC) and the Convention on Long-range Transboundary Air Pollution address
global issues linked to air pollution. Both deal with the emission of substances, which
have or are likely to have effects at a supranational level. The UNFCCC aims at
stabilising the concentration of GHG in the atmosphere “at a level that would prevent
dangerous anthropogenic interference with the climate system“. The Kyoto Protocol
lays down targets for the signing countries based on common, but differentiated
responsibilities.(Usubiaga et al. 2012)
The Convention on Long-range Transboundary Air Pollution tackles long-range nonGHG emissions as it provides the framework for preventing and reducing the release of
atmospheric pollutants at the international level (Usubiaga et al. 2012). It was started in
1979 and joined by 51 parties since then, however South Africa has not yet joined this
convention (UNECE 2013).
South African Policies
The most prominent policies on air emissions in South Africa are the Atmospheric
Pollution Prevention Act and the National Environmental Management: Air Quality Act.
“The Atmospheric Pollution Prevention Act21 provides for the prevention of the pollution
of the atmosphere, for the establishment of a National Air Pollution Advisory
Committee, and for additional matters incidental thereto. It was issued in 1965 and
amended several times, most recently by the Environmental Laws Rationalisation Act
in 1997. This Act indicates how the National Air Pollution Advisory Committee is built
up, and explains the roles of the inspectors and other officials. Furthermore, the Act
rules:
21
no. 45 of 1965
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





which areas are to be controlled;
how noxious or offensive gases are controlled, and how registration certificates
are issued;
how atmospheric pollution by smoke can be prevented and controlled by e.g.
restricting fuel burning appliances or by regulating chimneys, and establishing
smoke control zones;
how dust can be prevented and controlled by e.g. the establishment of dust
control zones, or by measures against dust causing nuisance;
the prohibition of disposal of assets by mines; and
when and how air pollution by fumes emitted by vehicles can be regulated.
As mining activities often cause dust and sometimes smoke emissions, they are
regulated by the Act accordingly. In particular, section 32 regulates dust emissions for
mines and the responsibility of the mine owners.
The National Environmental Management: Air Quality Act22, is a law that provides
norms and standards for regulating air quality, monitoring, management, and control on
all governmental spheres.
This Act was developed to regulate air quality in order to protect the environment by
providing reasonable measures for the prevention of pollution or ecological
degradation. The Act also seeks to secure ecological sustainable development while
promoting justifiable socio-economic development.
The interpretation and application of the Air Quality Act is guided by the National
Environmental Management Act of 1998 principles. Through a national framework, the
Act provides a guideline towards the formation of management plans; regulation of
pollution due to emission; management of dust, noise and offensive odour.
The Act aims to:

Regulate and manage air quality at the national and subnational level, including
the municipal level, especially with regard to monitoring and control of dust due
to industrial activity such as mining; and

Enforce norms and standards to regulate post-mining impacts through tools
such as air quality management plans.”
Through the National Management Framework, this Act is able to regulate the process
of granting Atmospheric Emission Licenses by adhering to rigid standards and norms
22
no. 39 of 2004
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to avert any possible impacts on local/national socio-economics; health; and cultural
heritage.”(Usubiaga et al. 2012)
We conclude that generally it can be assumed that the potential for resonance of air
emission indicators is generally relatively large. The most important reasons for
expecting intense resonance can be summarised as follows:




the regulation of atmospheric emissions is already advanced in South Africa (in
particular compared with its neighbouring countries). This can be reasoned by
the early starting of implementing environmental policies, after the regime
unravelled, in the context of the fundamental process of democratisation in the
1990s;
significant environmental and societal impacts in the range of successful
industrialisation;
both ANC23 governments, and strong DA24 opposition, estimate the importance
of sustainable development, including better environmental and societal
regulation;
the problems of air pollution in the EO-MINERS study area has been
acknowledged by the government and other stakeholders via the definition of
the Highveld Priority Area for air quality management and monitoring (DEAT
2009).
6.1.2. Meso-Level: Environmental Indicators with Regard to the Mining Sector
In the context of this resonance analysis, “meso policies” comprise any policies that
attempt to shape policies, which strive for unpolluted air. Meso policies become
manifest in locational policy by negotiation between governmental and nongovernmental bodies, and capable institutions that enable the formulation and
implementation of meso policies. Accordingly, administration on the meso level aims to
support the interrelation of stakeholders in order to develop locational policies, and to
compensate ineligibleness of markets. In other words, networking is supported among
diverse governmental and non-governmental bodies that strive for unpolluted air.(in
dependence on Schepelmann 2005)
Meso policy shows several features: It is a cross-sectional policy, is a policy that is
qualified – in general – to act as multilevel policy, is subject to public and private action,
and is characterised by the diversity of stakeholders. From an analytical point of view, it
23
African National Congress
24
Democratic Alliance
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is expected that resonance of local or regional action/policy may be evidenced
empirically on externally developed control parameters like air pollution indicators that
are developed at the macro level.(in dependence on Schepelmann 2005)
The Meso-level in South Africa
Two distinct resource policies had been identified in South Africa by a public policy
analyse: the Mineral and Petroleum Resources Development Act25, and the Mine
Health and Safety Act26.
“The Mineral and Petroleum Resources Development Act is a legislation that was
developed to transform the mining and mineral industry towards sustainable
development in general. Bounded by a legacy of socio-economic inequalities and poor
mining environmental management practices, this Act seeks to redress these negative
mining impacts through a coherent and integrated approach.(Usubiaga et al. 2012) The
directorates of the Department of Mineral Resources assume the responsibilities and
issue the directives, while the Act mandates the Department to dispense on behalf of
the government. In this case, an Environmental Management Directorate (as part of the
Department of Mineral Resources) is dealing with environmental management issues
regarding mining; and a Social and Labour Planning Directorate is dealing with the
socio-economic impacts of mining. These areas of regulation are also implemented at
local level by the Department’s Regulation Branch.
The Mine Health and Safety Act is a supplement to the National Environmental
Management Act and was developed to regulate issues relating to health and safety
concerns in the mining industry. It identifies the hazards, eliminates, controls and
minimises the risks related to the management of mines. This also involves mandating
for the involvement of all stakeholders in the training and awareness efforts on issues
relating to health and safety in the mining industry.”(Usubiaga et al. 2012)
Both regulations, however, do not regulate air emissions in the mining industry.
Stakeholders with direct linkage to air pollution issues are:


the Department of Environmental Affairs (https://www.environment.gov.za/);
the South African Medical Research Council (http://www.mrc.ac.za/).
Further, the Strategic Environmental Intelligence (SEI-EASU), a unit of the
Environmental Advisory Services of the Department of Environmental Affairs has been
25
no. 28 of 2002
26
no. 29 of 1996
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formed to “share information and ideas” in the air quality field between the Air Quality
Directorate’s scientific inspectors, regulators, policy formulators, analysts, and
scientists or experts, for the benefit of all involved. At this monthly event, the directorate
is exposed to cutting edge research whereat the research scientist engages with
directorate’s staff that shall expose the applicability of analytical methods to the legal
framework etc.
Air Pollution Indicators With Regard to the Mining Sector
Monitoring data for the South African study area are available from the South African
Air Quality Information System (SAAQIS)27. A number of parameters are measured, but
the system and the parameters, respectively, do not differentiate mining pollution
directly. An example for such measurements is Figure 6 that provides for eMalahleni a
quinquennial overview on particulate matter up to a particle size of ten micrometres in
size (PM10) per cubic metre.
Figure 6: Graph of PM10 concentrations per cubic metre, measured at eMalahleni.
Source: SAAQIS (www.saaqis.org.za)
The environmental issue of air pollution was addressed by EO-MINERS through the
indicator “aerosols” (D1): Distribution maps have been generated for four selected
27
http://www.saaqis.org.za/
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metals, namely antimony, chromium, vanadium, and barium (cf. Figure 5). Each map
shows the metal concentration of street dust samples (i.e. the same set of samples for
all metals). The maps shown in the following are the results presented at the
eMalahleni trialogue workshop in April 201328 (Figure 7-Figure 10). The summaries at
the diverse EO products are based on the descriptions and assessments of the
accessory booklet for the workshop at eMalahleni (Teršič et al. 2013a).
It should be noted that the colours of the concentration classes on the four distribution
maps do not indicate a direct risk for health, but merely aim to stress the wide range of
concentrations, and thus the effect of heavy industrial activities in the region.
28
as provided by the EO-MINERS website on 01.07.2013
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Antimony
Figure 7: “Dust pollution” distribution map: Antimony concentration in street dust
The map shows elevated Sb concentrations in the centre of eMalahleni and the main
road westbound (highest values on bridges crossing the N4 motorway). Antimony that
is a major component of the brake pads of motor vehicles is released during braking
and thus correlates with traffic, in particular urban traffic. The fine particles containing
Sb are seen to be deposited near to urban roads, thus, the Sb concentration reflects
the impact of urban vehicle traffic on the air quality.
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Chromium
Figure 8: “Dust pollution” distribution map: Chromium concentration in street dust
The highest chromium concentration is measured at the Samancor Ferrometals plant
(called “Ferrobank”), the Vanchem Vanadium Products Plant, and at the main road
south of these plants. Dust with high Chromium concentrations are emitted in relatively
large amounts by high-temperature smelting processes as they occur in such plants in
the region like Chromium smelters or carbide production. How much of this dust is
actually emitted depends on the production volumes and the filtration performance.
Further, waste heaps can cause the emission of dusts containing Chromium if they are
managed poorly.
The Chromium concentrations of the dust samples at Ferrobank and southwest of it
exceed 10,000 mg/kg (at Ferrobank even >20,000 mg/kg) and thus are orders of
magnitude greater than the average concentration of the upper earth crust.
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Vanadium
Figure 9: “Dust pollution” distribution map: Vanadium concentration in street dust Barium
The highest Vanadium concentrations, exceeding 2,000 mg/kg, were measured
northeast the Evraz Highveld Steel & Vanadium plant that is the second largest steel
producer in South Africa. Vanadium is a by-product of the steel production at the Evraz
Highveld Steel & Vanadium plant. Further, elevated concentrations were measured
west of this plant, and at the Vanchem Vanadium Products plant and the Samancor
Ferrometals plant. The distribution map shows that the high concentration is limited on
the surrounding of the large smelters and does not reach the city of eMalahleni.
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Barium
Figure 10: “Dust pollution” distribution map: Barium concentration in street dust
The distribution map reveals elevated Barium concentrations in areas east and south of
the city of eMalahleni, namely near the power stations, and the fly-ash dumps in the
eastern suburbs, and near the coal mines south of eMalahleni.
As for many other metals, fly-ash from coal combustion, but also dust from the mining
and transportation of coal as well as dispersion from fly-ash dumps contribute to
elevated concentrations. The abundance of hard coal in the Witbank coal field has
caused a high density of coal-fired power plants with corresponding emissions.
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6.1.3. Resonance Analysis on the policy area “air quality” in the eMalahleni
Area
The following sections explore for each phase of the policy cycle (cf. chapter 4.2)
empirically the resonance of environmental policy, or branches thereof, on the policy
area “air quality”, or the corresponding environmental indicator, respectively. As it is
assumed that the ability for resonance on the policy area (here: air quality) depends on
the degree to which networks of stakeholders have spanned a policy area adequate to
the indicator “air quality”. Therefore, the ability for resonance is assessed with the aid
of the policy cycle as introduced in chapter 4.2. For practical purposes, a simplified
diagram of the policy cycle (Figure 1) is used.(in dependence on Schepelmann 2005)
Within this study, the “air quality” has not been measured directly. Rather, a proxy,
showing the chemical composition of airborne particulate matter has been measured in
terms of settled dust, providing new insights into the well-known problem of air pollution
in the study area. In the following, the policy area “air quality” cannot be covered
entirely (for capacity limitations), thus this study does make no claim to be complete.
The method applied, however, provides a sufficiently representative overview on the
degree of differentiation of the policy area by presenting exemplarily the most
prominent elements of the policy cycle, in order to illustrate the degree of the functional
differentiation of the meso policy, while the resonance is proportional to that degree of
differentiation.(in dependence on Schepelmann 2005) Consequently, the presentation
extent of the phases of the policy cycle correlate with the degree of differentiation, and
the development of the policy area.
Environmental Indicator
The EO products addressing the environmental indicator “aerosols” (D1) is presented
as pdf-poster at the EO-MINERS website:

Dust pollution - eMalahleni, South Africa:
http://eo-miners.eu/prelim_results/pr_ppd_witbank.htm
The impact-related29 EO product “dust pollution” shows measurement points of metal
concentrations in street dust samples on a map with geographical extension of ca.
40 km x 35 km around eMalahleni (Figure 7-Figure 10). The concentrations are shown
The EO product „dust pollution“ is considered impact-related as aerosols are measured at the location of
the dust recipients (the road is considered as proxy for the metal concentration at houses in the (direct)
neighbourhood of that road).
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for the four metals Sb, Cr, V, Ba on separate maps with metal specific concentration
classifications (in general four classes, for Chromium five classes).
The background of the maps are satellite maps that are provided with supplementary
information by layers for administrative boundaries, transport infrastructure (diverse
types of roads, tracks), rivers, and anticipated point sources (smelting plant, power
station, fly-ash dumps, coal mines) with regard to the metals in focus.
As expected for an urban area like the surroundings of the eMalahleni municipality,
each metal shows a significant range of metal concentrations within the set of
measurements; the ratio between the concentration of the topmost to the lowermost
class range (min.) from about three for Sb and Ba, seven for V, up to more than 20 for
Chromium.
The concentrations measured in street dust samples cannot be directly related to the
potential for health and environmental impacts in the area surrounding the
measurement points. They indicate the presence of potentially hazardous substances
(i.e. the four metals) and can be used to guide more detailed contamination,
environmental health and health studies. The value of the technique is that it is a rapid
screening tool to identify areas of possible environmental impact. This allows attention
to be focused by regulators, polluters and researchers where it is most likely to be
needed.
During the follow-up workshop with the Department of Environmental Affairs, it was
noted that the idea of looking at potentially hazardous components within airborne
particulate matter was a relatively new concept, their monitoring to date having
concentrated on total particulate loads and trace gas concentrations. The EO-MINERS
project thus opened up a new dimension of impact i.e. inhalable and ingestible metals
via airborne particulate pollution.
Problem Analysis
The Strategic Environmental Intelligence (SEI-EASU; cf. chapter 6.1.2) of the
Department of Environmental Affairs (DEA) discussed the issue of “monitoring air
quality in national air quality areas such as the Witbank Coal Fields”. [Peter Lukey, the
Program Director,] “explained the importance of exploring various other research
methods like using street dust towards monitoring air quality” […]. The research is
therefore of high importance.” (CGS 2013)
Dependent on the key questions to answer, approaches to monitor air pollution show a
wide range of methods. They can refer to the emitting (pressure), to the air quality
(state), or to the recipient (impact). An outstanding feature of the EO product “dust
pollution” is that the street dust method reflects the accumulation of dust settled, and
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thus means a historical record of air pollution of the site. Often, these measurements
are in some sense superior to the measurements of “air particulate matter (PM) [by air
measurement that reflect] a snapshot of the situation on site”, and thus can fluctuate
cyclic or otherwise. Usually, the “samples (…) collected (…) [reflect] a period of not
less than half a year”
The intensive search by DEA for extending the set of methods applicable on “dust
pollution” is interpreted to reflect the aim to improve the capabilities for the problem
analysis.
Target Setting
The SEI-EASU discussed the interpretability of metal distribution maps based on (road)
dust samples – as developed by EO-MINERS. Although the resulting distribution maps
clearly indicate significant relative differences between the diverse measuring points
(cf. Environmental Indicator, p.46f.), and knowledge on common directions and speed
of dust propagation suggest an indication of concrete source-path-receptor
relationships for the dust, it is difficult to draw conclusions like maximum concentration
values for the protection of humans and the environment without evidence-based
threshold values. Therefore, we conclude from the discussion on the relationship
between particle matters and the impacts on environmental health and human health
that the DEA aims for target setting (in a wider sense) in the area of metal pollution. In
order to bring this process forward, further investigations like detailed epidemiological
work would be required.
Development of the Options for Action
The presence of elevated metal concentrations in street dust, while definitely an
indicator of the existence of pollution, does not constitute sufficient evidence for
immediate regulatory action. The logical next step from here is to conduct follow-up
epidemiological studies in the affected areas, looking at possible human/environmental
health impacts of the pollution types identified. This is beyond the scope of the EOMINERS project and the specific study involved. Such a study would provide the basis
for the development and implementation of policies for:


the monitoring of (airborne) particulate pollution in the future;
the regulation of industries emitting potentially hazardous (airborne) particulate
pollution.
Not Present or Only Rudimentary
Given the early stage of this study within the context of the policy cycle, it would be
premature to select, implement or optimise options for action, although civil society
could use the current information as the basis to put pressure on regulators and
operators to fast-track the development and implementation of policy in this regard.
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Therefore, the policy cycle stages “Selection of the Options for Action”, “(Policy)
Implementation”, “Performance Review (evaluation of policy actions)”, and
“Optimisation” do not show significant impacts/influences due to reporting on “dust
pollution”.
6.2.
Evaluation
The analysis refers to the resonance of the environmental policy regarding the indicator
“aerosols”. The EO product “dust pollution”, based on a street dust study, has
contributed to the problem analysis, amongst others by introducing the idea of looking
at potentially hazardous components within airborne particulate matter. This meant a
relatively new concept compared to the monitoring to date having concentrated on total
particulate loads and trace gas concentrations. The EO-MINERS project thus opened
up a new dimension with regard to the Problem Analysis by extending the scope on
inhalable and ingestible metals via airborne particulate pollution.
While the principles of environmental management defined in South Africa’s National
Environmental Management Act can inform future policy and action development, no
specific policies relate to the findings of this study. As the airborne particulate pollution
by potentially hazardous metals has only been set on the political agenda by this street
dust study, there is a lack of experiences on the interpretation of source-path-receptor
relationships for the metal concentration contained in the dust. For this reason the
knowledge base shall be extended, e.g. by epidemiological studies in the eMalahleni
area, before Target Setting can be started reasonably. Furthermore, this setting of
targets is required for a proper Development of the Options for Action. Nevertheless,
the severe need for action in the eMalahleni area and the clarity of the basic direction
already triggered discussions on options for action like the monitoring of (airborne)
particulate pollution in the future, or the regulation of industries emitting potentially
hazardous (airborne) particulate pollution. In principle, the Department of
Environmental Affairs indicated interest to address this sphere of activity in near future.
The results obtained in the street dust study have been reported to stakeholders from
government, industry and civil society at local level via the trialogue workshop and to
the responsible national government department. The next logical step would be a
follow-up study (comprising epidemiological investigations) to improve existing results
and look for links between high metal concentrations in street dust and local-scale
effects on health, and environmental health.
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7. Conclusions
This report provides an analysis of policy resonance on selected indicators applied by
the EO-MINERS project on the macro as well as the micro level. The resonance
analysis on the macro level refers to the “unused extraction” from mining, while the
resonance analysis on the micro level is performed on “aerosols” in the eMalahleni
Coalfield. As a key result, the study showed that the method of resonance analysis can
be applied also in specific sectoral policy areas like mining policy.
The course of the project revealed an asymmetry between the micro level and the
macro level activities. At the micro level, a set of 60 candidate indicators was
developed, of which up to 13 indicators were “short-listed” for each of the three mining
sites (cf. Table 1). The indicator “aerosols” that was short-listed in each of the three
mining sites was addressed by tailored EO products in South Africa and the Czech
Republic. In contrast, at the macro level a single mature indicator was selected, which
has already been applied for several years and reported by national and EU studies
that cover material extraction.
The non-conformity between the time-scale imposed in most research projects, and the
time required for generating resonance, turned out to be a general weakness of the
approach chosen. The complete policy cycle takes usually longer than the period
available within research projects, thus for methodical reasons, only ex-post
approaches are viable. This implies that a programmatic approach would be needed to
improve the status of adequate scientific methods in evidence-based policy
development.
In the following sections, conclusions are presented separately for the macro and micro
level, enhanced by certain illustrative context.
Macro Level
On the macro level, an analysis of policies had shown that there is no clear demand for
macro indicators from corporate and non-governmental stakeholders. Even though
industry and civil society organisations participate in activities like the Extractive
Industries Transparency Initiative (EITI), the UN Global Compact Initiative, the
Intergovernmental Forum on Mining, Minerals, Metals and Sustainable Development,
the EU Raw Materials Initiative etc., national or intra-governmental organisations are
still the main driver of macro level regulations on sustainable mining practice. Thus,
governmental organisations create the main demand for macro indicators and
potentially for earth observation data.
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There is a broad range of different public policies and initiatives on sustainable
development, resource policies, environmental protection and mining. These policies
and initiatives have differing scopes and scales: Some of these are general and based
on voluntary agreements, while others constitute a binding regulative environment for
mining operations. Although this richness of public policies and initiatives has not led to
a comprehensive international framework regulating extractive activities, the
international discourse tends towards more stringent legislation.
Public policy initiatives create a demand for information on sustainable mining activities
on the macro level. The discourse about sustainable development has set the agenda
and defined a general framework of resource policies. Within this framework, relevant
resource policy frameworks at international and at EU level have emerged with
emphasis on different aspects of resource extraction and mining. On the EU level,
resource policies are mainly about two central themes, whereat the latter aspect has
primarily been most relevant for EO-MINERS:


security of supply;
decoupling environmental impacts from resource use.
Regarding the use of physical indicators, which could be supported by earth
observation methods, the EU has established a tight and comprehensive regulatory
and policy framework on mining activities. This comprises general resource policies
such as the Thematic Strategy on the Sustainable Use of Natural Resources and the
Raw Materials Initiative, as well as a wide range of specific environmental regulations
in the fields of biodiversity, air, water, waste, etc., most notably the Mining Waste
Directive.
The specific and also the general environmental policies of the EU might best be
addressed with site-specific indicators that are discussed by Falck et al. (2012c). The
resource policies of the EU, however, generate a specific need for information about
mineral resources; this information does not coincide with the above-mentioned, and
thus requires other specific indicators, which have usually been supplied by national
and EU statistical services etc. Accordingly, providing source data for the latter
indicators would require the development of specific EO services on the macro level.
With the Flagship Initiative for a Resource-.efficient Europe and the Innovation
Partnership for Raw Materials, EU resource policies have gained momentum. Their
information need is complemented by the directive on EU environmental satellite
accounts. The minerals-related indicator development for both the EU resource policies
and the EU environmental satellite accounts relies heavily on the data framework
Economy-Wide Material Flow Accounts (EW-MFA). This might offer considerable
opportunities for EO-MINERS and other earth observation activities related to mining
such as the GEOSS Societal Benefit Area on Energy that shall deal with both energy
management as well as minerals (geo-resource) management. These opportunities
can be realised, if the identified stakeholder needs in the EU Member States and the
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Commission services are met by intensified efforts on the supply side in research and
development. This, however, would require an appropriate orientation of Copernicus
and other EU activities towards GEOSS.
The European Trialogue organised by EO-MINERS (Wittmer and Hejny 2014) revealed
that DG Enterprise efforts for a Raw Materials Innovation Partnership are currently not
matched by corresponding activities of the Copernicus Secretariat (also in DG
Enterprise). The project had no indication that DG Enterprise Raw Materials policies,
which encompass better monitoring of raw material extraction, actually influence
Copernicus and GEO policies of the EU. Given the obvious fragmentation of policies
within DG Enterprise, it is even more unlikely that the existing need in other
Commission services (e.g. Eurostat or DG ENV) or the EU-Member States for earth
observation of mining activities and intensified material flow accounting will be met
either by Copernicus or by the GEOSS Societal Benefit Area on Energy, or its
successor. At the moment we have no indication that the detected potential in this area
for research and development (supply) and policy design (demand) will be realised in
the near future.
Micro Level
The resonance analysis on the micro level refers to the environmental policy regarding
the indicator “aerosols”. The EO-MINERS project opened up a new dimension with
regard to the Problem Analysis by extending the analytical scope on potentially
hazardous metals within inhalable and ingestible airborne particulate matter, by means
of the EO product “dust pollution”. This EO product that is based on a street dust study
enabled to measure cumulative airborne particulate pollution.
The low resonance in the phase Target Setting and further phases of the policy cycle
can be explained in retrospect by the novelty of such measurements in the study area,
showing for the first time distributions of metal concentrations in airborne particulate
matter. The novelty of the method thus implies a lack of experiences on the
interpretation of source-path-receptor relationships for the metal concentrations
contained in the dust. As the justification of further political action might become risky
without sufficient knowledge on these relationships, also the resonance in these
phases is expected to be accordingly low. Against this background, the extension of
the knowledge base in the eMalahleni area is considered to be a crucial step, in order
to strengthen further political advancements and to provoke specific resonance. Such
an extension could be achieved by improving the quality of existing results and looking
for links between high metal concentrations in street dust and local-scale effects on
health, e.g. by epidemiological studies, and environmental health.
More generally, the impact of this EO product and other EO products can be limited
with regard to the local to national overall policy cycle due to the lack of clear structures
enabling a systematic uptake of corresponding EO data by stakeholders. Comparative
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studies on this aspect would be required in order to understand better the “potential
resonance”30 for the three different mining sites, and how this potential could be
enhanced purposefully.
On the local level, the policy framework appears relatively fragmented and tends to
focus strongly on local management of environmental and societal impacts, while
neglecting systematically macro-scale concerns (in contrast to the national and EU
level, where stakeholders are aware of both micro- and macro-scale concerns).
Awareness raising could improve this situation on the local level, in particular for the
regulators and industry stakeholders.
8. Acknowledgements
We thank Bantu Hanise (Council of Geoscience CGS, SA) for scholarly debates on the
applicability of the resonance analysis methodology on the local level, and for
supporting the DEA workshop that provided fruitful input to the resonance analysis on
the local level.
The term “potential resonance” refers to the estimated maximum level of resonance that could be
achieved based on the political and non-political structures that enable systematic uptake by stakeholders.
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