A Theoretical Framework for Integrating Artisanal Mining Formalisation into National Mineral Resource Governance Systems: Evidence from Nigeria

The formalisation of artisanal and small-scale mining (ASM) has been pursued across sub-Saharan Africa with limited success, partly due to the absence of theoretical frameworks that adequately account for the complex institutional, social, and economic environments in which ASM operates. This dissertation develops an original theoretical framework for integrating ASM formalisation into national mineral resource governance systems, using Nigeria as the primary empirical context. The research adopts a critical realist ontological position and employs a multi-level comparative case study methodology across six geopolitical zones, drawing on 18 months of ethnographic fieldwork, documentary analysis, and 142 in-depth interviews with miners, community leaders, state officials, and international development practitioners. Existing formalisation theories are critically evaluated and their explanatory limitations in the Nigerian context identified. An original governance integration framework is synthesised, incorporating five dimensions: tenure security, value chain formalisation, social protection, environmental accountability, and adaptive enforcement. The framework is tested against the Zamfara gold mining crisis, the Plateau State tin revival, and the Ebonyi lead-zinc corridor as empirical cases. Findings demonstrate that formalisation policies designed without community-embedded legitimacy mechanisms consistently fail despite technical validity. The dissertation contributes an original mid-range theory of ASM governance integration applicable to other resource-endowed developing economies and proposes legislative and institutional reforms for the Nigerian Minerals and Mining Act. Keywords: artisanal mining, formalisation, governance, theoretical framework, Nigeria.