Assessing Mineral Resource Governance: Case Study of Coastal Lithium Mine Chain

Thesis Abstract

The rapid expansion of lithium extraction for electric vehicle supply chains has intensified concerns about mineral resource governance, transparency, social license to operate, and environmental stewardship within coastal mining jurisdictions. This study addresses the gap between governance frameworks and on-the-ground practices in lithium supply chains by examining how regulatory regimes, corporate governance, community engagement, and environmental controls interact across a Coastal Lithium Mine Chain region. The aim is to evaluate whether current governance structures effectively balance resource access, sustainability, and stakeholder rights, and to identify leverage points for improvement. The specific objectives are (1) to map institutional actors, policy instruments, and governance outcomes along the coastal lithium mine chain; (2) to assess compliance with national mining regulations, environmental standards, and disclosure requirements; (3) to analyze the influence of corporate governance mechanisms on mining performance, transparency, and risk management; (4) to examine community impact assessments, grievance mechanisms, and social license to operate; and (5) to propose a governance-enhancement framework integrating equity, sustainability, and economic efficiency. The methodology combines a mixed-methods design grounded in the resource governance theory and the stakeholder theory. The population includes mining companies operating in the coastal lithium belt, regulatory agencies at national and regional levels, community organizations, and environmental NGOs. A stratified purposive sample of 12 firms (including primary producers and downstream processors), 6 regulatory bodies, and 8 community groups will be studied. Data collection will involve (i) archival document analysis of regulatory filings, annual reports, environmental impact statements, and ESG disclosures; (ii) semi-structured interviews with 60 stakeholders (20 company managers, 15 regulators, 15 community representatives, 10 NGO officials); (iii) a survey of 300 local residents and workers to measure perceived governance legitimacy, transparency, and social license indicators; and (iv) environmental performance data from 24 mine sites (water use efficiency, waste management, tailings metrics) over a five-year period. Instruments include a governance-compliance checklist, a stakeholder-relationship survey, and an environmental performance index. Validity and reliability will be ensured through triangulation, pilot testing, and intercoder reliability for qualitative coding. Data analysis will utilize (i) descriptive statistics and regression analysis to test relationships between governance quality, compliance scores, and performance metrics; (ii) thematic analysis for interview transcripts to identify governance gaps and stakeholder concerns; (iii) structural equation modeling to examine causal pathways among regulatory, corporate, and community variables; and (iv) a risk-assessment framework to prioritize governance levers. The conceptual model integrates the Institutional Theory of Governance with the Resource Curse/Resource Corridor perspectives to interpret how institutional arrangements shape resource outcomes in a coastal context. Expected findings include (a) a typology of governance arrangements across the mine chain and their alignment with sustainability outcomes; (b) evidence that higher transparency and robust grievance mechanisms are associated with improved compliance, reduced social conflict, and better community well-being; (c) identification of governance gaps in environmental monitoring, tailings management, and supply-chain traceability; (d) quantification of the effect of governance quality on financial performance and investment stability; and (e) a framework for governance-enhancement that emphasizes multi-stakeholder collaboration, adaptive regulation, and performance-based incentives. The study contributes to knowledge by operationalizing mineral resource governance in a coastal lithium context, bridging theory and practice through empirical, multi-actor analysis, and providing a transferable framework for governance improvements in emerging lithium regions. The main conclusion will articulate the critical governance levers that yield sustainable, transparent, and inclusive mining outcomes, while recommendations will target policy reform (strengthened disclosure regimes, independent auditing), corporate governance (board-level sustainability risk oversight, supply-chain due diligence), and community engagement (co-design of impact assessments, accessible grievance channels).