The future of gold mining in Peru
An interdisciplinary research on the implications of – and possible solutions for – the situation of water security caused by the gold mining industry at the Yanacocha mineCourse: Interdisciplinary Project
Students: Joep van Gaalen (Earth Sciences, 11014032), Thomas Gruben (Business Administration, 10881298), Maartje Wadman (Earth Sciences, 11051248) and Femke van Woesik (Political Sciences, 11016531)
Supervisor: Kenneth Rijsdijk
Tutor: Fenna Hoefsloot
Date: 22-12-2017
Abstract
From 1990 on, the government of Peru started to promote the gold mining industry, which led to the opening of the Yanacocha gold mine in the Cajamarca region. The mining industry uses a lot of water. This, in combination with the natural water scarcity in the region, affects the water security in the Mascon catchment. In this report, the implications of –and possible solutions for – the situation of water security caused by the gold mining industry. There are multiple stakeholders involved in this problem and they all have divergent interests. Therefore, an interdisciplinary approach is necessary to analyse this problem. For the analysis, DPSIR is used as an integrative framework. DPSIR consists of five pillars: Driver, Pressure, State, Impact and the Response. From this DPSIR analysis it became clear that the gold mine affects the quality of the water due to pollution, and the quantity of the water due to water grabbing. Therefore, the Peruvian Ministry of Energy and Mines should develop more environmental regulations for the mining sector. Next, the Newmont mining corporation should operate in a more sustainable manner. However, these recommendations will be hard to implement since powerful actors benefit from the mining industry.
Table of content
Abstract 2 Introduction 4 Methods 5 Theoretical framework 6 Problem definition 8 Interdisciplinary integration 10 Results 11Location of the research area 12
Previous economic and political processes 14
Driver 14 Pressure 14 State 16 Impact 19 Response 22 Conclusion 23 Discussion 24 References 26
Introduction
In 1993, the Yanacocha mine in the Cajamarca region in Peru produced its first gold bar (Bury, 2005). This first gold production physically marked a significant shift in the economic and political structures of Peru. The government of Peru began to promote the gold mining industry in order to achieve economic development. This shift proved to be economically successful; the Yanacocha mine is the largest pit of South America and made Peru one of the most important mineral producing countries (Sosa & Zwarteveen, 2012). The location of the mine can be seen in the figure below (Figure 1).
Figure 1: Location of the Yanacocha Gold Mine in Peru
However, Peru is also the country with the highest water stress of South America. In the Cajamarca region, where the mine is located, there is natural water scarcity (Bury, 2005). Water security, which is defined by water availability, access, stability and utilization, is a large problem in Peru (Bebbington & Williams, 2008). Many people are directly or indirectly dependent on the groundwater and rivers, and their quality, for nutrition and income (Sosa & Zwarteveen, 2012). For the mining activities at Yanacocha, a lot of water is used and the groundwater levels are kept artificially low, therefore, the water scarcity in this region has increased (Bebbington & Williams, 2008).
In this paper, the effects of the mining activities at the Yanacocha mine on the water security are analysed. The mine is situated at the peak of the Yanacocha Mountain in the north Andean highlands (Vela-Almeida, Kuijk, Wyseaure & Kosoy, 2016). The gold mining practices affect three catchments in the area: Llaucano, Crisnejas and Jequetepeque. These catchments can be divided into smaller catchments with the Mashcon catchment as a part of the Crisnejas catchment (Kuijk, 2015). The Mashcon water catchment is the most densely populated catchment and mining activities are primarily located in the upstream of this area, therefore the mining activities have the biggest impact here (Vela-Almeida, Kuijk, Wyseaure & Kosoy, 2016). Consequently, this will be the research area. The Mashcon catchment is placed south-east in relation to the mine and has an area of 15,820 ha. Río Grande de Mashcón and Río Porcón are the two rivers that flow through the catchment from 4100 m to 2700 m in altitude and end up in the city of Cajamarca. According to Rojas (2010), 6500 people are directly dependent on those rivers and their streams in the Mashcon catchment (Vela-Almeida et al., 2016).
There are multiple stakeholders involved with the gold mining of the Yanacocha mine: The peasant communities, the mining corporation itself, the national government of Peru and the regional government of Cajamarca and the environment. All of these stakeholders have
different interests concerning mining activities and water security. The financial and resource benefits are not equally divided, which creates conflicts among the stakeholders. This conflict can be defined as an allocation problem since there is a lack of just allocation of the water among stakeholders in the region (Perry et al, 1997). This, in combination with the natural water scarcity has led to water insecurity for several stakeholders. Due to a long history of weak state regulation and the absence of transparent and independent information, the situation has only become worse (Bebbington & Williams, 2008).
Therefore, the aim of this report is to give recommendations in order to improve the water security situation. Since this problem touches upon many different aspects, an interdisciplinary approach to analyse this problem is needed: First, the consequences of the mine on water security need to be defined, this can be done best from an Earth Science perspective. Second, the operations of Newmont and their motives need to be analysed, this analysis can be done best from a Business Administration perspective. Third, the policy of the government and its effect on the environment and surrounding communities can be best analysed from a Political Science perspective. Thus, an interdisciplinary approach is necessary in order to analyse and eventually solve this conflict. Since this report analyses the problem from an interdisciplinary perspective, it contributes to the existing literature on the implications of gold mining in Peru. Until now, no interdisciplinary research has been conducted on this subject. The main research question of this report is as follows: What are the implications of - and possible solutions for - the situation of water security caused by the gold mining industry at the Yanacocha mine, Peru? To answer this question, the five pillars of DPSIR (Drivers, Pressure, State, Impact and Response) will be analysed in order to formulate the implications and the possible solutions for gold mining in Peru.
Methods
In order to answer the research question of this report: What are the implications of - and possible solutions for - the situation of water security caused by the gold mining industry at the Yanacocha mine, Peru? The following method was used: First, a secondary literature study with literature from all the three disciplines was conducted. From this literature study, several concepts and theories were described in order to create a theoretical framework. This theoretical framework is structured around the concept of water security since this concept is the focal point of the research and the research question. After the creation of the theoretical framework, all these theories and concepts were put into the integrative framework. The integrative framework this report used, is the DPSIR framework consisting of five pillars (Drivers, Pressure, State, Impact and Response). To apply these concepts to the case, this report makes use of the Digital Elevation Model (DEM) to analyse the different catchments and the water flows. This process will be described more comprehensively in the analysis chapter of this report. Finally, this integrative framework and the analysis will be used to formulate recommendations and eventually answer the research question of this report. A visual overview of the used method can be seen in figure 2.
Theoretical framework
In this section, the theories and concepts relevant for answering the research question will be explained.
Water grabbing
According to Jennifer Franco et al (2013) water grabbing is a process in which powerful actors are able to take control of, or reallocate to their own benefit, water resources used by local communities or which feed aquatic ecosystems, on which their livelihoods are based. These actors take advantage of the opaqueness in the policy regime and the legally complex situations around water tenure. Companies often use their informal social and political networks to influence governance processes. New policy interpretations, such as the neoliberal policy in Peru, are processes that make the water grabbing possible (Franco et al., 2013).
Water privatization
Privatization of water is transferring the ownership of this public property from the public to the private sector (Banerjee, 2015). As a result, water gets a price and private companies try to gather profit over the water as an economic good (Banerjee, 2015). This privatization has several consequences according to Banerjee. First, it raises the price of water through market dynamics. This increases inequality in water security, since the economically weaker class of the society cannot afford the increased tariffs (Banerjee, 2015). Also, after privatisation the government has no control over the commodity anymore. Since the directive of corporations is, according to Banerjee (2015), to maximize profits, the protection of the surrounding community and environment is not always guaranteed. Finally, it can encourage corruption since government officials can make deals with corporations in their own instead of the public’s interest (Banerjee, 2015). This theory of the consequences of water privatization is helpful to analyse the water situation in Peru, since the water sector of Peru is being redefined from a public good to a commodity (Bakker, 2003). The water governance of Peru was rescaled after the increased demand for water resources by the growing mining industry (Budds & Hinojosa, 2012). Under the neoliberal framework, that was adopted since 1990, there was a reduced role for the government and a growing participation and influence of non-state actors in political arenas (Budds & Hinojosa, 2012).
Water security
Water security is a concept that is used to answer the research question, since this is the main cause of the conflicts between different stakeholders in the Cajamarca region (Vela-Almeida et al., 2016; Kuijk, 2015; Krois & Chulte, 2013). According to Bakker (2012), water security is defined as ‘’an acceptable level of water related risks to humans and ecosystems, coupled with the availability of water of sufficient quantity and quality to support livelihoods, national security, human health, and ecosystem services’’. To better integrate the concept of water security with these aspects, the water security definition consists of four different pillars: availability, access, stability and utilization. This definition is based on the food security definition of the Food and Agriculture Organization (FAO). Water availability is determined by the amount of water stocks (Barret, 2010). Apart from these water stocks, there also has to be physical, economic and social access to these stocks. Therefore, the second pillar of water security is water access (Barret, 2010). Furthermore, water should be present at all times, this is the water stability. The determinants of water stability are the weather variability, water price fluctuations and
political and economic factors (FAO, 2006). Finally, the last pillar water utilization, is determined by the quality of water. The availability of, and access to, water is not enough, people have to be assured of safe water without contaminants (Napoli, 2011). These four pillars together form the concept of water security.
Water availability
According to the World Food Programme, water availability consists of the amount of water that is present in a country or area through all forms of water stocks (WFP, 2009). Therefore, it is important to look at the monthly precipitation rates in the Cajamarca region, because precipitation is an indicator of natural water supply. This influences the water availability and water stability and thus the water security.
Water utilization
According to the Food and Agriculture Organization water utilization is the use of clean water to reach a state of nutritional well- being where all physiological needs are met. This means that the people, who depend on the water for nutrition, hydration and cleaning, should be able to use the water without health risks (Barrett, 2010). The utilization of water thus greatly influences the water quality. Non-food inputs into the system are very relevant for this pillar of water security (FAO).
As the mine is located in the higher regions of a catchment area, the pollutants easily spread around, through groundwater streams and surface runoff, and so affect the water quality in the rivers. Since the region is also a large producer of livestock and dairy, the quality of the water is also economically relevant (Armijos, 2005).
Water stability
This pillar is a sustainability pillar whereby water must be present at all times in terms of availability, access and utilization for water security to exist (Napoli, 2011). It is important that there are no long-term adverse effects of resources exploitation and that there is no dependency on gifts or charity but rather self-reliance. Finally, it can be seen as absence of or coping with vulnerability (risk, shocks) (WFP, 2009).
Water access
As mentioned earlier, water access can be divided into physical, economic and social access. From the physical viewpoint, water security exists when there is an efficient existence of transport infrastructure. The economic dimension arises when people can afford to buy sufficient water. Lastly, social access can be disrupted because of social conflicts or civil strifes, whereby people cannot get any access to water anymore (Napoli, 2011). B According to Mudd (2007) 691m3 of average water flow is needed to mine one kilogram of gold.
Corporate Social Responsibility
Corporate Social Responsibility is “a process with the aim to embrace responsibility for the company’s actions and encourage a positive impact through its activities on the environment, consumers, employees, communities, stakeholders and all other members of the public sphere who may also be considered stakeholders” (Tai & Chuang, 2014). CSR has moved in the past two decades from an ideology to a reality in most of the organizations. It has given organizations a way to define their role in society and set certain ethical and social standards within their strategy implementation (Lindgreen & Swaen, 2010). This theory will be used to analyse the operations of the Newmont mining corporations in the analysis section of this report.
An overview of how all these concepts are related is illustrated in figure 3 below.
Figure 3: An overview of the theoretical framework. The red concepts are related to the business administration discipline, the orange concepts are related to the political sciences discipline, the blue concepts are related to the earth sciences discipline and the yellow concepts are other relevant factors
related to the concepts.
Problem definition
As the concepts and theories in the theoretical framework show, the gold mining industry at the Yanacocha mine has some serious implications on the situation of water security in the region. This problem is well known but is so far mainly researched by mono disciplinary studies. In this section, arguments will be presented why this problem is very complex and thus in need of an interdisciplinary approach. As stated in the introduction, the research question of this report is defined as follows: What are the implications of - and possible solutions for - the situation of water security caused by the gold mining industry at the Yanacocha mine, Peru?
There are several reasons why the problem (and possible solutions) of the gold mining industry at the Yanacocha mine is complex. First, there are multiple stakeholders with different interests involved: The Newmont mining corporation is a stakeholder since this is the corporation that operates in the Yanacocha mine. This company consequently forms the driver behind the water grabbing and water pollution, that affects the water security in the region. From an analysis of the Newmont annual report of 2016 it can be concluded that the main goal of this corporation is to make more profit (Newmont, 2016). Next, the national government of Peru is a stakeholder since they opened up the national economy for international mining corporations and stimulated this process by adapting neoliberal policies. The national government of Peru is mainly focused on achieving economic growth and they see the mining industry as a way to achieve this (Banerjee, 2015: Bury, 2005: Budds &
McGranahm, 2003). The municipality of Cajamarca disagrees with the national government and emphasized their concern about the water pollution and the decline in water security in the region (Mundial, 2005). Another stakeholder is formed by the local communities affected by the mining industry. A decline in water security, caused by the gold mining industry, affects the peasant communities who live in the area, since they rely on clean and sufficient drinking water as a basic human need (Sosa & Zwarteveen, 2012). Their interests are served by the National Coordination of Communities of Peru Affected by Mining (CONACAMI) that advocates for attention for environmental and social issues in the mining sector (Paredes, 2016). Besides the basic use of water, there are also economic water users who rely on water security for their income, for example farmers (Sosa & Zwarteveen, 2012). The environment is also an important stakeholder since gold mining has, due to pollution, negative effects on surrounding aquatic ecosystems (Hilson & Monhemius, 2006). Thus, this problem involves multiple stakeholders with different interests. This makes this problem complex to analyse as there are various perspectives to the problem with all different outcomes. The different interests of the stakeholders involved, also make it hard to come to a solution for the situation of water security, caused by the gold mining industry. A disciplinary approach to this complex problem has serious limitations in providing a comprehensive view of this problem, since a single perspective will not cover all different stakeholders and facets of which a complex problem consists (Lam et al, 2014). An overview of the stakeholders and their interests is given in the table below (Table 1).
Stakeholders Interests
Newmont mining corporation Making profit
National government of Peru Achieving economic growth for the country
Municipality of Cajamarca Reducing water pollution and achieving water security for the region
Local communities
- Economic water users Non-economic water users
Water security
Have enough and clean water for their economic purposes such as farming
Aquatic ecosystems Maintaining biodiversity and ecology
Table 1: An overview of the multiple stakeholders who are involved in the problem
Another reason why this problem is a complex one, in need of an interdisciplinary analyses, is Path Dependency: From 1992 onwards, the government of Peru adopted a neoliberal policy framework (Bury, 2005). The reforms also included the privatization of water which made it possible for (gold mining) corporations to control the water as a commodity. This led to less protection of the surrounding community and environment due to water pollution. After the privatization, the government of Peru has had less control over the water and thus could not always guarantee water security in the region (Banerjee, 2015). This makes this problem complex since once this path is taken, it is hard to return to what was done previously (Boulton & Allen, 2007). The concept of irreversibility supports this statement, as it states that when certain decisions are made there is no going back. Sometimes, also in the case of
Yanacocha considering the water availability and access, it is tempting to think of ways to undo certain decisions made in the past. Going back to the legislation in the days that the farmers had a strong say in water rights seems logical, but looking into path dependency it becomes clear that this is not a very likely and effective solution as all other institutions and rules around the system have evolved as well (Boulton & Allen, 2007).
Only focussing on the government and other political institutions as actors that can improve the current situation, will not be sufficient, since corporations have rights to control the water. To come up with recommendations to solve this problem, an interdisciplinary approach is thus needed.
Interdisciplinary integration
The DPSIR framework, as introduced by the European Environment Agency (EEA), presents indicators for the condition of a natural system. The elements Driver, Pressure, State, Impact and Response are used to the show the causal relations between the origins and consequences of environmental problems (Kristensen, 2004; Ness et al, 2010). This framework shows where improvements can be made, if the system is disrupted. Moreover, it shows what the involved stakeholders are and what their mutual influence is (Kristensen, 2004).
DPSIR is used to analyse the state of the ecology, biodiversity or environment in a certain area and looks at the causes for decrease in one of these factors (Borja et al., 2006). If the cause is found, eventually response policies can be formulated to counter these problems. Both qualitative as well as quantitative data are relevant for the DPSIR framework (Kristensen, 2004; Nett et al, 2010). As a result, the DPSIR framework suits this research very well, since the different pillars of water security demand different forms of data and they can now be combined within one framework.
Moreover, the framework is ideal for interdisciplinary research (Kristensen, 2004; Ness et al, 2010). For environmental analysis, the influence of the pressure on the state and impact are most important, since this is where system changes have the largest impact (Borja et al., 2006). Based on these elements, recommendation can be formulated which could eventually be implemented in the response. How these recommendations should be executed is up to the policymakers. The Pressure, State and Impact are thus more natural science based. The response, however, looks from a policy, and thus social science perspective. As a result, within the framework, natural and social sciences are combined so that it is easier to come with overarching recommendations (Nett et al, 2010)
The DPSIR framework is based on the assumption that all elements have a causal effect on each other, and that there is always a (political) response to reduce the adverse effects of the other elements. Moreover, the DPSIR framework only works if all elements, and their influence on each other are correctly identified (Nett et al, 2010).
Within this section the elements will be explained and their relevance in the case of the Yanacocha gold mine is emphasized. The driving forces consist of anthropogenic controlled actions or processes that are the source of environmental problems. In this case study, the mining activities form the driving force. Pressures are the emissions or waste that cause the problems in the environment; in this case these emissions consist of cyanide and trace elements due to mining activities (Yacoub López, 2013). However, since there are also problems in the quantities in which water is divided amongst stakeholders, water grabbing also forms a pressure (Yacoub López, 2013).
In the state of a system, the physical, ecological condition is described. In the case of the Yanacocha mine and the Mashcon catchment, the state formed by the increased concentrations of trace elements in the river and its sediments as well as the amount of water
that flows through the catchment (Yacoub López, 2013). The impact shows what the ecological and/ or health consequences of the system change are. This is comprised of the ecological and physical state of the region and its inhabitants. It shows whether, and if so, how they are affected by the increased metal concentrations and/ or the unequally division of water resources. The responses are often political measures that impact the other elements of the DPSIR framework, so that the environmental and/or health issues are controlled (Nett et al, 2010).
In figure 4, the case specific elements of the DPSIR framework are filled in for the Cajamarca region in Peru. It shows that there is a causal link between the elements and underlines the feedback from the response to the other elements.
Figure 4: An overview of the DPSIR framework with the corresponding elements of the case
Results
In this chapter, the theoretical framework will be applied to the interdisciplinary integrative technique DPSIR in order to analyse the problem and eventually compose recommendations for improvement of the situation. First, the location of the Yanacocha mine and basins has been mapped in order to gain more knowledge about the position of the mine, local communities and the total area of the environment that is influenced by the mine. Next, the events occurring before the driver was situated at the Yanacocha mine are described in order to give an overview of the economic and political processes in Peru.
Location of the research area
Prior to the analysis, the locations of the Yanacocha mine and basins were mapped. This was done to gain more knowledge about the area that is environmentally influenced by the mine. For this, the following methodology is used: The spatial distribution was projected by loading a Digital Elevation Model (DEM) from USGS hydrosheds:
(s10w080_dem_grid.zip)(https://hydrosheds.cr.usgs.gov/datadownload.php?reqdata=30dir
into the WGS 1984 UTM Zone 17S projection, using ArcGIS 10.4.1. The hydrology tools made it possible to model the hydrological processes and to extract the hydrological features. Firstly, sinks were filled in the DEM. This modified the elevation values to eliminate the inner depressions. After that, the stream network was extracted using the DEM and the raster network was converted to a vector format. Lastly, a watershed with sub catchments was made and divided into different polygons. For these last two steps, different key processing steps were needed which were all available in the Terrain Preprocessing of the Arc Hydro toolbar: Flow Direction
Flow Accumulation Stream Definition Stream Segmentation Catchment Grid Delineation Raster to Vector Conversion
Finally, the Yanacocha mine was located into the maps by making a point observation and by finding the exact location with Google Maps. The result of this is shown in Figure 5 and 6. The different maps show the location of the Yanacocha mine and the delineated watersheds and sub-catchments with extraction of the hydrological stream network (see fig 5 & 6). Figure 5 shows that the Yanacocha mine is situated at the upper part of all three catchments. However, just as stated in the introduction, the focus in this report will only be on the Mashcon catchment. Because of this decision, it has to be taken into account that more people are involved than the 6500 people who are directly dependent on the the water in the Mashcon catchment (Vela-Almeida, Kuijk, Wyseaure & Kosoy, 2016). Consequently, the impact of the Yanacocha mine is much bigger. Unfortunately, there was no data available of the other catchments about water quantity. Therefore, it would be unrealistic to conclude something about the water quantity of these catchments.
In this paper, the mashcon catchment will be defined as the westernmost part of the Crisnejas basin between the Yanacocha mine and Cajamarca city, as described by Vela-Almeida, Wyseaure & Kosoy (2016) (see figure 5 and 6). This report from Vela-Almeida et al. (2016) states that the Mashcon catchment has a total area of 15,280 ha and is divided into two sub catchments: río Porcón and río Grande de Mashcón. However, Kuijk (2015) divided the Mashcon catchment into five sub catchments with a total area of 31,500 ha. Consequently, if Kuijk’s discription of the Mashcon catchment would have been used, outcomes of this report would be different. The data from Vela-Almeida, Wyseaure & Kosoy (2016) was used, because this report contained more objective and suitable values.
Lastly, it has to be taken into account that data about the water quality of the Mashcon catchment was not available. Consequently, data was used from the Jequetepeque catchment that was obtained by Yacoub (2013) and Yacoub, Pérez-Foguet, Valderrama and Miralles (2014). However, in this report it is assumed that the water quality in the Mashcon is the same as the water quality in the Jequetepeque catchment, because the Yanacocha mine is located at
the top of the upper stream of both catchments. Consequently, both catchments have the same water sources and the influence of the mine on water quality is comparable for both catchments.
Figure 5: Thelocation of the three subcatchments Llaucano basin (yellow area), Crisnejas basin (blue area) and the Jequetepeque basin (pink area) and the location of the Yanacocha mine (black circle
Figure 6: Map of the exact location of the Yanacocha mine and the cities of Cajamarca and Bambamarca and the river streams
Previous economic and political processes
As stated in the introduction, from 1992 onwards, significant political and economic shifts occurred in Peru from that moment on, the Peruvian government adopted a neoliberal policy framework (Bury, 2005). In 1990, Alberto Fujimori was elected as President of Peru, he restructured the economy of the country according to neoliberal principles through the adoption of a new constitution. One of the reforms of this new constitution included the opening of economic sectors to foreign direct investment, this made it easier for international corporations to invest and start operating in the country (Bury, 2005). Also, more than 200 state owned companies were sold and state subsidies were reduced (Shirley, 2002). The drivers of these neoliberal reforms of Peru where multilateral financial institutions and bilateral development agencies, such as the World Bank and the International Monetary Fund (Budds & McGranahm, 2003). They campaigned in favour of water privatization because this, according to them, would reduce water consumption and promote water conservation (Banerjee, 2015). Opening of the economy made natural resources in Peru accessible for multinational corporations. Because of weak state regulation in Peru, it was possible for these multinational corporations to influence the government in order to pursue their own interests. This leads to arrangements that reflect the political power of those who benefit from them, which imbalances the relations of power between companies and communities (Bebbington & Bury, 2009). This neo-liberalization of the economy led to an economic growth and stabilization in Peru. But it also created a persistent mismatch between economic results and socio-political demands (Loris, 2012). The government has, due to the privatization of water, no control over this commodity anymore, western private corporations, such as the Newmont mining corporation, have. The directive of most corporations is, however, to maximize profits, which means that the protection of the environment and the fair distribution of water is not always guaranteed (Bebbington & Bury, 2009). This process will be analysed in the DPSIR analysis in this paragraph.
Driver
The driver of this problem is the Newmont mining corporation. This mining corporation, active in the Yanacocha mine, consists of three different shareholders: Newmont (51,35%), Minas Buenaventura (43.65%) and the International Finance Corporation (5%) (Newmont, 2016). Since Newmont has the majority in shares, they have the executive power. Therefore, this research focuses on Newmont as the driver. The mining corporation needs water for agglomeration, as a leachate during ore processing and for drilling and dust suppression during mining (Bleiwas, 2012).
Analysis of the Newmont annual report of 2016 shows that taking the natural and social environment of the mining practices into account is not seen as a priority. The corporation mainly focused on making more profit (Newmont, 2016).
Pressure
As explained in the interdisciplinary integration part, the pressure is driven by the mining corporation (the driver), which causes changes in the current water state. Pressure is divided into interventions that occur in the quantitative and qualitative part of the water state. This
distinction is made because interventions in the quantity is part of the availability and access pillars, while quality interventions are part of the utilization pillar of water security.
Quantitative interventions
Nearly all the water that is used in the mine pits of Yanacocha originates is groundwater. The company is allowed to pump 18.10 million cubic metres per year, but since 2010 this amount is exceeded (Vela-Almeida et al., 2016). Groundwater is extracted out of the surrounding aquifers to discharge excess from the mine site and to reduce the risk of landslide and acid drainage (Kuijk, 2015; Vela-Almeida, et al., 2016). The groundwater is artificially kept low in order to maintain the water table below the base level of the pits (Kuijk, 2015). This process is called dewatering (Sosa & Zwarteveen, 2012). Furthermore, nearby lakes are exploited for the mining. These processes can be seen as forms of water grabbing since powerful actors (the Newmont mining corporation) are reallocating water resources to their own benefit (Sosa & Zwarteveen, 2012).
Table 2 shows the lowering of water tables of aquifers for different projects in the Mashcon catchment in meters (Vela-Almeida et al., 2016). The water tables of Yanacocha Sur y Oeste, La Quinua and Carachugo decreased more than 100 meters in height in less than a decade. However, for the Yanacocha Norte, the average latest water table height was not available but it was known that the decrease of the water table was 65 meters between 2000 and 2004 (Vela-Almeida et al., 2016). This table might give a good indication about the reduction of groundwater, however, it needs to be critically observed. This data is from 2006 so there could be alterations compared with the current situation. Although, Minera Yanacocha currently monitors the water table at different points, the data is kept confidential (Vela-Almeida et al., 2016). Furthermore, there are more mining projects, which are not included in this table. In 2011, Minera Yanacocha represented in total 13 open pits, 9 rock residue heaps and 4 lixiviation piles (Kuijk, 2015). This makes it problematic to conclude that all Yanacocha mining activities have led to reduction of groundwater only based on table 2.
Table 2: Lowering of water tables of aquifers (Vela-Almeida, et al., 2016). Note: Years of starting and closure of operations are not known.
Qualitative intervention
During the extraction of gold, a lot of the scarce water is used. Moreover, cyanide leaching is applied, which is a very efficient extraction method that has low production costs. This leaching method is part of acid mine drainage (AMD), whereby the transmission of toxic contaminants into water is involved (Bebbington & Williams, 2008). During this cyanide leaching process, more surface area of the rocks in the ore bodies is exposed to air and water, increasing rates of chemical reaction, whereby contaminants are released into the environment and acidic water can be generate (Bebbington & Williams, 2008). Furthermore, during the mining process, many other trace elements can be released into the environment (Yacoub
López, 2013). These trace elements can thereafter be transported through sediments and water, which increases their influence (Yacoub López, 2013).
State
In this part, the water conditions in the Mashcon catchment influenced by the pressures, are described. Just as in the pressure part, a distinction is made between the state of the water quantity and quality. Before explaining the affected water conditions, it is important to analyse the current precipitation state.
The Cajamarca region has a semi-arid climate with high precipitation from October to April and little precipitation from May to September (Kuijk, 2015). Because of this precipitation distribution, the water availability is mainly affected during the dry season (Krois & Schulte, 2013). Table 3 gives the monthly mean and standard deviation of precipitation in mm from a period of 1973 to 2014 (Kuijk, 2015). The high standard deviations indicate that the monthly amount of precipitation is not constant from 1973 to 2014. The lowest precipitation is in July with a mean of 5.9 mm precipitation per month and the highest precipitation is in March with a mean of 57.7 mm precipitation per month. The table is made by Kuijk (2015), and used data from the Augusto Weberbauer (AW) station in Senahmi (this station is located nearby Cajamarca city) from 1934-2010 and 2000-2014 (Kuijk, 2015).
Table 3: Monthly mean and standard deviation of precipitation (mm) 1973-2014 of the station AW (Kuijk, 2015)
Furthermore, an inventory of the existing water sources with their discharge and quality was not carried out before the start of the mining operations in 1993. This is also the case for the quantified usage for local communities. Consequently, it is not possible to say something about the hydrological alteration before the start of mining (Kuijk, 2015).
Quantitative state
As mentioned in the pressure part, the mine requires water for its operations. In addition, the mine alters the natural distribution over the natural water bodies (Kuik, 2015). The precipitation from table 3 does not always follow the natural hydrology (Kuik, 2015). Sometimes it is captured and used for mining operations and eventually treated and discharged to one of the outlets of the mining zone. This is also the case for water that is extracted from mining pits. The water that is used in the pits originates from precipitation or water that flows from aquifers. Because of this large pumping, the volume in aquifers, which function as natural reservoirs, decrease and cause a lower groundwater table (Kuijk, 2015).
The Newmont mining corporation claims that 98% of their water is reused (Sosa & Zwarteveen, 2012). Yacoub López states that this percentage is 95% (Kuijk, 2015). However, table 4 gives the volumes and discharges of the receptor water bodies where mining activities take place in the Mashcon catchment, which is thus the net water consumption that is not recycled. The mean discharge of the receptor bodies Callejón, Encajon, Shillamayo and
Chaquicocha are the highest. This is expected, because the annual volume of these receptor bodies is also the highest. From table 4 it can be concluded that the volume in the receptor water bodies will decrease because of mining activities. However, this result cannot firmly quantify the impacts of mining on water availability in spring and streams in upstream areas, because there is no data available which indicates at which discharge rate there will be water scarcity. Furthermore, this could be different for every receptor water body.
Table 4: Main characteristics of the 12 outlets of MYSRL mining zone and their receptor water bodies in the Mashcon catchment Kuijk, 2015)
Table 5 shows the available monitored records of flow in the Río Grande from 2002 to 2015. Some data is missing, because these values have not been made publicly available. If table 4 is compared with table 3, it can be said that also in this table the clear distinction between dry
and wet season is visible. A higher precipitation means a higher flow in the Río Grande. The Encajon and the Callejón are the main tributaries of the Río Grande upstream (Vela-Almeida et al., 2016). Just as seen in table 4, both streams have been disturbed by mining activities. Consequently, a logical expectation would be that the water in the Río Grande would have been decreased. However, table 5 indicates that the water flow in the Río Grande has increased from 2002 to 2015. Vela-Almeide et al. (2016) suggest that the increasing water flow is not caused by precipitation, because the precipitation values do not differ significantly between 2002 and 2013 (p = 0.2486). Another explanation for the increasing water flow could be an increasing of surface water runoff because of higher dewatering rates (see part about dewatering).
Table 5: available monitored records of flow (m3/s) in the Río Grande. *The two rows for 2014 represent the measurements of water flow from two different organizations: the first from ALA-C, the
second from SENAMHI.
Qualitative state
In this part, the quality of the water in the research area is discussed. The quality of the groundwater and the water in the river can be measured by taking samples, which can then be analysed. Table 6 presents the concentrations of several metals in the water in the Jequetepeque catchment. These are mean values of several measurements near the Yanacocha mine. As explained earlier, we assume that the contamination in the Mashcon catchment will be similar to the Jequetepeque catchment and therefore these data are relevant for our research. Element Cc (mg/L) Al 18 As 1.335 Cd 0.05 Cr 0.56 Cu 30.52 Fe 17,254 Mn 11.25 Ni 0.04 Pb 0.18
Zn 9.9
Table 6: the concentrations of several trace elements in the water in the Jequetepeque catchment (Yacoub et al., 2013)
Yacoub Lopez (2013) presents the following map of the Jequetepeque catchment, which shows several water sample locations and the obtained water quality data. Moreover, the location of the Yanacocha mine is shown.
Figure 7: The Jequetepeque catchment (Yacoub López, 2013)
The research locations that showed great concentrations of trace elements in the water are presented in red on this map. Locations that contained significant concentrations are orange and the yellow dots show moderate contamination of the water with trace elements. It is clear that the water samples near the Yanacocha mine were more contaminated than these of other locations. At the mine sites, more trace elements are found in the water and moreover they presented higher concentrations. It is clear that the mining activities at Yanacocha form a source of pollution and this has effect on the quality of the water in the region. The implications of these concentrations will be discussed further in the impact analysis.
Impact
This part describes the consequences of the changing state for several stakeholders, who are discussed in the problem definition part.
Quantitative impact
Water rights are negotiated and bought from local communities and irrigation committees (Kuijk, 2015). These local communities think only in short terms, causing water shortages for
them in the future, because of a lack of water rights (Kuijk, 2015). Moreover, dewatering has negative impacts on the hydrological balance in the catchments. Variations in water tables, groundwater level, spring streams and flow directions are produced. This leads to a decreased water availability for irrigation and a decrease of wetlands size (Pacheco, 2012). Table 7 gives the water rights based on licenses granted by the Autoridad Local del Agua Cajamarca in the Mashcon catchment until December 2013 (Vela-Almeida et al., 2016). In theory, the Peruvian Water Law establishes that social and environmental functions have priority. However, in practice, 34.2% water goes to Minera Yanacocha, which indicates that economic interests also have a high priority. Minera Yanacocha is authorized to pump 0.574 m3/s of groundwater and to use 0.060 m3/s of surface water, which gives a total of 0.6344 m3/s as granted flow. Most of the water in the region is used for irrigation, however, the volume of water that is used for mining is much higher per user when the total granted flow for irrigation use is divided by the number of users (Vela-Almeida et al., 2016). This table gives a good indication about the distribution of water in the Mashcon catchment. However, this table represents limited part of the total affected area of the Yanacocha mine, like mentioned in the introduction (Sosa and Zwarteveen, 2012). Unfortunately, no more data is available for a wider water distribution in the area. Furthermore, this water right distribution is based on licenses. There are also many people who used this water but are not registered. Consequently, there will be more water users than is determined in this table, which means that the number of irrigation users and the percentage of demand for the irrigation users might be higher.
Table 7: Multisectoral water rights based on licenses granted by the Autoridad Local del Agua Cajamarca in the Mashcon catchment. Estimates of the number of users and the area of irrigation and
mining use were based on records of water rights until December 2013. *Based on the records of water rights granted upstream and estimated beneficiaries in the city of Cajamarca according to the estimated population in 2010 (127,363). **The water licence of domestic use in the city of Cajamarca contributes 0.200 m3/s. Other values represent water rights in the catchment for multiple use, of which
domestic consumption is the main use (Vela-Almeida et al., 2016).
Qualitative impact
The impacts of mining on the water quality originate primarily from acid mine drainage and the escape of pollutants in processes of production and transformation (Bebbington & Williams, 2008). Through groundwater, rivers and sediments, the pollutants are distributed and thus many actors are affected.
In certain concentrations, cyanide can be poisonous for birds, aquatic life, cattle and humans. This means that spillage or leakage of cyanide in the mine can have very large consequences for the environment. Moreover, higher concentrations of As, Cd, Cr, Cu, Fe, Mn and Pb have been found in the sediments near the Yanacocha mine. These metals can have large influence on human health (Bury, 2004). Mining activities produce a lot of sediments, which transport trace elements fairly easily. Within the region, Cd, Pb, As and Cu are trace elements that pose the largest risk for the environment (Yacoub López, 2013).
For every trace metal, the risks for human health are quantified with HQs. The HQs are calculated with the following formula: HQ = Cc / RfD, where CC (mg/L) is the constituent concentration in water and RfD (mg/Kg/day) is the reference dose of ingestion from a risk based concentration table (US EPA 2010). Trace metals, with an HQ of 1 to 10, indicate a low potential for
adverse effects. An HQ of 10 to 100 indicates a significant potential for adverse effects and an HQ of 100 or more pose many adverse effects.
Elements CC (mg/L) RfD (mg/Kg/day) HQ Al 18 1 18 As 1.335 0.0003 4,450 Cd 0.05 0.0005 100 Cr 0.56 0.003 186 Cu 30.52 0.04 763 Fe 17,254 0.7 24,648 Mn 11.25 0.025 450 Ni 0.04 0.02 2 Pb 0.18 0.0014 128 Zn 9.9 0.3 33
Table 8: HQ values: trace element concentrations compared to reference dose of ingestion (Yacoub et al., 2013)
In the table above (table 7), the Cc values of the river basin near the Yanacocha mine are presented. As, Cd, Cr, Cu, Fe, Mn and Pb were found in concentrations that that resulted in HQ values higher than 100. This means that ingesting such amounts has many adverse effects for human health. The HQ values of Al and Zn show that the concentrations of these elements found in the water potentially pose significant risks for human health. Only Ni was found in concentrations that show low potential of adverse effects. Therefore, the presence of trace metals determined at the basin can be considered to be harmful to human health. Ingesting large amounts of contaminated water could thus have negative effects on human health. The concentrations that form the basis of the presented HQ values are especially problematic because of the lack of trace metal remediation and water facilities in the region.
As the mine is located in the higher regions of the catchment areas, the pollutants are easily transported through groundwater streams and surface runoff, and so affect the water quality in the rivers. Since the region is also a large producer of livestock and dairy, the quality of the water is also economically relevant (Armijos, 2005).
Water consumption exceeding permissible levels could produce a range of diseases, such as damage to liver and kidney, high risks to getting cancer, disorders in the nervous system, skin discoloration, and hypertension (Pacheco, 2012). Moreover, ecosystems can suffer from the higher concentrations cyanide and trace metals, which can have adverse effects for the biodiversity in the region (Yacoub López, 2013 & Hilson, Monhemius, 2006). When agriculture is affected by contaminated water, this can also have economic effects.
Response
The previous analysis has shown that the practices of the Newmont mining corporation affect the water security for several stakeholders in the Mashcon catchment. To reduce these adverse effects of the mining industry in Peru, a response is needed. It is important that the government of Peru takes more control of the situation and takes it responsibility to ensure water security for everyone.
Certain non-governmental organisations (NGO’s) and the civil society itself are very concerned with this water security issue, they are therefore trying to raise awareness regarding the environmental and social issues. The two biggest stakeholders are the Peruvian Environmental Law Society and the National Coordination of Communities of Peru Affected by Mining (CONACAMI). They both advocate for attention to environmental and social issues in the mining sector. The latter is founded by communities affected by mining and focuses on indigenous peoples (Paredes, 2016). But these non-governmental organisations and the civil society itself are not able to completely change the current situation since they lack the authority to implement new laws.
The municipality of Cajamarca already made clear that they disagree with the mining operations and that they want to prevent expansions of the mine due to concerns about water pollution. But the Constitutional Court resolved against this municipal degree stating that the municipality is not invested with the power to declare protected areas (Mundial, 2005). This shows that the authority of the municipality is also not sufficient to completely tackle this pollution and allocation. This report therefore consults to focus on the national government of Peru to give a policy response since they have more authority and power.
As stated before, Peru only began with mining operations since the policy reforms of the 1990’s. This means that the role of the state in regulating and monitoring the environmental and social performance of new and ongoing mining operations is also relatively new (Mundial, 2005). The Ministry of Energy and Mines (MEM) became the agency responsible for developing environmental regulations for the mining sector (Mundial, 2005). But, as is stated in the problem definition, it is hard for the government to change their neoliberal policies since this is already implemented in the economic structure. On top of that this policy is also hard to change due to international power relations. Since the neoliberal economic reformations, the Peruvian economy depends to a large extent on international investments regulated by powerful institutions such as the World Bank (Budds & McGranahm, 2003). International corporations such as Newmont benefit from open economies with neoliberal policies in developing countries. Less government intervention in these countries makes it easier for the corporations to extract resources and make their own rules (Bury, 2005: Bebbington & Bury, 2009).
Nevertheless, it is important that the government acknowledges the problems that the mining industry causes and makes sure that water security is guaranteed for all stakeholders. The Ministry of Energy and Mines should make more and more severe laws that regulate the gold mining industry in order to reduce pollution and ensure water security for all stakeholders. Looking from a groundwater level perspective, this means that the amount of water drained from aquifers should decrease back till 18.10 million cubic metres, which was the case before 2010. When looking at the quality of the water, the Cc values in the water of several trace elements should be decreased to the RfD standards, presented in table 7. This can be achieved either through reduction of trace element emissions from the mine sites, or by introducing trace metal remediation and water facilities in the region.
Besides a contribution from the government to solve this problem, there are also recommendations needed for the Newmont corporation itself since this is the driver of the
problem. The status quo is that Newmont is part of the ICMM which should address these problems. The International Council on Mining & Metals (ICMM) is an international organization which consists of 25 mining and metals companies and more than 30 regional commodity associations. The ICMM states that it is dedicated to a safe, fair and sustainable mining industry, doing this by bringing the industry together. They have developed a sustainable development framework with certain principles, all the members of the ICMM are in some way obligated to follow these principles (ICMM, 2017a).
When analysing these principles, it becomes clear that while the goals are very positive, there are no numbers or certain minima which are required to be a member of the ICMM. The principles are vaguely defined and open for interpretation, for example the first principle states the following: “Implement and maintain ethical business practices and sound systems of corporate governance” (ICMM, 2003). Such a statement is open to interpretation and by itself, without specific measures, does not say much about the organization being ethical or unethical. What one would call an ‘ethical business practice’ could be seen as an old-fashioned non-ethical business practice by others.
Besides the vague principles, the structure of the organization itself is also open for doubt. Newmont is the founding member of the ICMM and there is no controlling organ within the organization who has no interest in the mining industry (ICMM, 2017b).
An independent international organization, which focuses on the social and natural aspects of gold mining, could address the problems whereas the ICMM fails doing so. The Fair-Trade Foundation, an in the UK based charitable organization, started with giving certain gold products a Fairtrade label.
While there is no overarching international organization controlling the mining industry, the Fairtrade Foundation started Fair Trade Certified Gold in 2011 and is the first independent ethical certification system for gold. Such certification for a goldmine and its products requires rigorous transformation considering the old-fashioned mining industry (Fairtrade International, 2017). The Fair-Trade certification focuses on the working conditions, child labour, women’s rights, clean technology, health and safety, organizational management, democratic decision-making, transparency and traceability of the mining operations and responsible environmental management, when a mining corporation meets all these standards the gold product gets a Fairtrade label (Fairtrade International, 2017).
Currently Fairtrade International uses the Fairtrade gold label in all the countries where it is active. The problem is that only a few gold mines in Latin America supply Fairtrade gold and the amount of Fairtrade gold relative to the amount of non-Fairtrade gold on global level is not significant. In 2013, 60 kilogrammes of Fairtrade Gold were sold by the mines, whereas the global gold production in 2013 was 2800 metric tons (2.800.000 kilogrammes) (Fairtrade International, 2017; U.S. Geological Survey, 2016).
When Newmont wants to keep on stating that their mining practices are sustainable and they behave in an ethical manner the Fairtrade certification would be a good way to support this and actually get checked by an international independent organization which is proved to be legitimate. By doing so, Newmont claiming they are Corporate Social Responsible will become more legitimate.
Conclusion
The aim of this report was to research the implications of the mining activities at the Yanacocha gold mine on the water security in the region and formulate possible solutions for these implications. To analyse this problem, this report made use of the integrative
framework: DPSIR. With this framework, all the theories and concepts from the three different disciplines were integrated.
The implications of the mining activities at the Yanacocha gold mine became clear in the pressure, state and impact analysis of DPSIR. The Newmont mining corporation causes, as the driver, changes in the current water state: as well in the quantity as in the quality of the water. The mine extracts groundwater from the surrounding aquifers, this dewatering has an impact on the water availability for the surrounding communities in the catchment. This can be seen as a form of water grabbing. Moreover, during the mining activities, contaminants are released into the environment and acidic water can be generated. Trough groundwater, surface runoff and sediments, the pollutants are distributed and thus many actors are affected: the health of local residents is affected, there are economic consequences for the farmers and there are adverse effects for the biodiversity in the region.
The second part of the research question was what could be possible solutions for these implications. In the last pillar of the DPSIR framework, the response, recommendations to improve the water security situation in the catchment, are formulated. This report recommends the Ministry of Energy and Mines of Peru to develop more environmental regulations for the mining sector. More and more severe laws that regulate the gold mining industry in order to reduce pollution and ensure water security for all stakeholders are necessary. Besides the government of Peru, the Newmont corporation should improve their operations and make them more sustainable.
However, these recommendations will be hard to implement since some powerful actors benefit from the gold mining industry in Peru. Powerful international organisations, such as world bank, are advocating for the mining industry since they argue that this is a good way to develop the Peruvian economy. Also, the national government of Peru, partly pushed by international organisations, is advocating in favour of the mining industry to develop the national economy. Since these actors are more powerful and have more authority than NGO’s and regional governments, who advocate against the mining industry, it will be hard to improve the status quo. This also applies to the Newmont corporation itself, they state that they want to operate in a sustainable manner. A way of doing this is through the International Council on Mining & Metals in which mining corporations developed a sustainable development framework and all members are in some way obligated to follow these principles. However, Newmont itself is the founding member and there lacks a controlling organ which has no interest in the mining industry. It is therefore doubtful if these principles are actually properly fulfilled. A solution to this problem could be the international Fairtrade Foundation since this is an independent certification.
To conclude, the gold mining industry has some serious implications for the water security in the catchment and recommendations to improve the current situation are made. However, these recommendations are hard to implement and thus it will be difficult to change the status quo.
Discussion
Many tables and maps are used in this report and were critically analysed. However, to draw conclusive results on the impacts on water of the Yanacocha mine, this field is hindered by an acute scarcity of data. There is a lack of baseline studies of the region’s natural hydrology, historical records of water flows and changes in the water tables of aquifers in the Mashcon catchment. Furthermore, it is difficult to get objective data, because most information from Minera Yanacocha is kept confidential. Moreover, all reports from Minera Yanacocha are written in Spanish, which made it difficult to directly use this date. However, English reports
have translated data and information from the Minera Yanacocha reports. Consequently, these reports were used with indirect data from the Minera Yanacocha reports.
Another point of improvement is that for the recommendations section a socio geographical perspective could be useful to analyse the role of the local communities in improving the water security situation. In that case, instead of policy recommendations also bottom up approaches could also be taken into account.
The last point of discussion is the fact that this research focussed only the Mashcon catchment. Other catchments surrounding the Yanacocha mine could also be affected by the mining activities, however due to the scope of this research they are not included in this report. In further research, this could be a point of improvement.
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