3. Research Design and Methodology
3.2 Case Study
3.2.1 Case study selection
Multiple case studies are selected because the aim is to compare and contrast the case studies.
This fits with the theoretical replication logic used in this study, which expresses that the objective is to discover contrasting findings (Baxter, & Jack, 2008; Harrison et al., 2017). In addition, using multiple cases strengthens the comparability and breadth of the study.
Selection of the case study takes place based on the relevance of the cases to the
research question (Eisenhardt, & Graebner, 2007). The final case sampling is based on
32 purposive sampling, which means that the identified cases are selected based on
predetermined criteria (Denieffe, 2020). With purposeful sampling the cases are selected on the premise that these cases provide the most in-depth information. The cases need to be comparable, contain similarities and provide us with contrasting findings.
Before the final sampling, homogenous sampling is used to select cases that meet the same selection criteria (Palinkas, Horwitz, Green, Wisdom, Duan, &, Hogwood, 2015). All possible cases need to consist of mining communities situated in Sub-Saharan Africa. To create a file of relevant mining communities the data in the Community Monitors’ database provided by the Bench-Marks Foundation in South Africa was transferred to excel. The documents in the excel files are categorized based on title, date, location and content of the document. These files are used to group cases per country, province and eventually
communities and to what extent they are applicable to answer the research question. This is done by observing patterns and looking for similarities (Eisenhardt, &, Graebner, 2007).
Important to consider during the data selection process is that data in the excel files from South Africa, Zambia and Zimbabwe are in English. The data from the Democratic Republic of Congo is in French and the data from Angola and Mozambique is in Portuguese, therefore the data in these files first needed to be translated before they can be used.
After this first categorization, theoretical sampling is used to determine the final cases.
With theoretical sampling, data collection and analysis happen at the same time. Where to
collect the next data depends on the prior determined categories (Coyne, 1997). To determine
which cases are relevant and will result in the most interesting findings, it is crucial that the
cases originate from different countries to compare the different institutional voids where the
local communities are situated The presence of institutional voids is determined on a country
level based on data retrieved from the African Development Bank and the World Bank. The
specific measures are the level of the educational system, level of infrastructural development
33 and level of regulatory mechanisms and the financial instability in the capital market.
Subsequently, different national levels of institutional voids are ensured by selecting cases from different countries.
Theoretical sampling regulates that both cases of local communities situated near private-owned and state-owned mining enterprises are selected. This is important to determine whether the different ownership structures influence the relationship between the presence of institutional voids and influence tactics used. Orbis is used to find data about the selected mining enterprises and to establish whether they are state-owned or private-owned. In addition to Orbis, the company websites are examined for additional archival research and understanding of the ownership structure. This leads to the following categorizations, the Frontier SA mine near the Sakania community is owned by Eurasian Resources Group which is a private company and not publicly listed. The other relevant mine in the Democratic Republic of Congo is the Ruashi Mine. This mine is 75% owned by Metorex which is a subsidiary of Jinchuan Group International Resources ltd., a Chinese SOE, due to the majority share the mine is classified as state-owned. The Moatize Mine relevant for the Moatize
community is owned by Vale S.A. a Brazilian publicly quoted enterprise. Vale is listed at the
New York Stock Exchange and Bovespa (Vale, 2021). Therefore, the mine is categorized as
private-owned. The next relevant mine is Kansanshi Mine, which is 80% owned by First
Quantum, a publicly quoted company and listed at the Toronto Stock Exchange (First
Quantum ltd, 2021). Accordingly, the Kansanshi Mine is categorized as private-owned. The
global ultimate owner of the diamond mines relevant to the Chiadzwa community is owned
by ZCDC, which is a Zimbabwean SOE. For the Cuango community the corresponding mine
is the Catanga mine, which is owned by Sociedade de Desenvolvimento Mineiro de Angola
SA, according to Orbis this company is state-owned by the Angolan government. The last two
relevant mines originate from South Africa. The first mine, the Sefateng Chrome Mine, is
34 categorized as state-owned. The majority shareholder is Corridor Mining Resources PTY, a company wholly owned by the Limpopo Economic Development Agency which is a state-owned organization. The last mine is the Siyanda Bakgatla Platinum Mine which is 85%
owned by the private company Siyanda Investments (PTY) Ltd., Siyanda Investments (PTY) Ltd is not publicly listed according to Orbis. Therefore, it is categorized as private-owned.
Since data collection and analysis happens simultaneously, it is noticed which
communities provide the most documents, rich narratives and are most suitable for an
in-depth case study. For each case it is noted for which time frame documents are present in the
Community Monitors’ database. Ensuing this process, the following cases were selected
presented in Table 2.
35 Table 2
Communities selected as case studies
Community Location Mine Owner(s) POE/
SOE
Time Frame
Sakania Community
Katanga Province, Democratic Republic of Congo
Frontier SA Mine, copper mine
Global Ultimate Owner:
Eurasian Resources Group
POE August 2017 - April 2020
Ruashi Community
Katanga Province, Democratic Republic of Congo
Ruashi Mine, copper and cobalt mine
Metorex (Global Ultimate Owner Jinchuan Group International Resources ltd):
75%
Gecamines S.A.: 25%
SOE August 2017 - September 2020
Moatize Community
Tete Province, Mozambique
Moatize Mine, coal mine
Vale: 85%, Mitsui: 15%
POE September 2017 - October 2020 Kansanshi
Community
Solwezi Province, Zambia
Kansanshi Mine, copper and gold mine
ZCCM-IH: 20%
First Quantum (FQM): 80%
POE September 2017 - May 2020
Chiadzwa Community, including Arda Transau Community (relocated community)
Mutare district, Zimbabwe
Marange Diamond Fields, diamond mine
Global Ultimate Owner:
Zimbabwe Consolidated Diamond Company ZCDC
SOE October 2017 - December 2020
Ga-Mampa Community
Limpopo Province, South Africa
Sefateng Mine, chrome mine
Bolepu: 40%
CMR (Corridor Mining Resources PTY a company wholly owned by the Limpopo Economic Development Agency, LEDA, an organ of state): 55% shareholder, three community trusts: 5%
SOE August 2016 - September 2020
Sefikile Community
Rustenburg Province, South Africa
Siyanda Bakgatla Platinum Mine, chrome mine previously known as Anglo Platinum Union Mine
Siyanda Investments (PTY) Ltd: 85%
The Bakgatla-Ba-Kgafela community: 15%
POE August 2018 - September 2020
Cuango Community
Lunda Norte Province, Angola
Catanga Mine, diamond mine
Sociedade de
Desenvolvimento Mineiro de Luzamba
SOE September 2017 - September 2020