KIMBERLEY PROCESS CERTIFICATION SCHEME

[Serano]

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KIMBERLEY PROCESS CERTIFICATION SCHEME
PREAMBLE
PARTICIPANTS,
RECOGNISING that the trade in conflict diamonds is a matter of serious international
concern, which can be directly linked to the fuelling of armed conflict, the activities
of rebel movements aimed at undermining or overthrowing legitimate governments,
and the illicit traffic in, and proliferation of, armaments, especially small arms and
light weapons;
FURTHER RECOGNISING the devastating impact of conflicts fuelled by the trade
in conflict diamonds on the peace, safety and security of people in affected countries
and the systematic and gross human rights violations that have been perpetrated in
such conflicts;
NOTING the negative impact of such conflicts on regional stability and the
obligations placed upon states by the United Nations Charter regarding the
maintenance of international peace and security;
BEARING IN MIND that urgent international action is imperative to prevent the
problem of conflict diamonds from negatively affecting the trade in legitimate
diamonds, which makes a critical contribution to the economies of many of the
producing, processing, exporting and importing states, especially developing states;
RECALLING all of the relevant resolutions of the United Nations Security Council
under Chapter VII of the United Nations Charter, including the relevant provisions of
Resolutions 1173 (1998), 1295 (2000), 1306 (2000), and 1343 (2001), and determined
to contribute to and support the implementation of the measures provided for in these
resolutions;
HIGHLIGHTING the United Nations General Assembly Resolution 55/56 (2000) on
the role of the trade in conflict diamonds in fuelling armed conflict, which called on
the international community to give urgent and careful consideration to devising
effective and pragmatic measures to address this problem;
FURTHER HIGHLIGHTING the recommendation in United Nations General
Assembly Resolution 55/56 that the international community develop detailed
proposals for a simple and workable international certification scheme for rough
diamonds based primarily on national certification schemes and on internationally
agreed minimum standards;
RECALLING that the Kimberley Process, which was established to find a solution to
the international problem of conflict diamonds, was inclusive of concerned stake
holders, namely producing, exporting and importing states, the diamond industry and
civil society;
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CONVINCED that the opportunity for conflict diamonds to play a role in fuelling
armed conflict can be seriously reduced by introducing a certification scheme for
rough diamonds designed to exclude conflict diamonds from the legitimate trade;
RECALLING that the Kimberley Process considered that an international
certification scheme for rough diamonds, based on national laws and practices and
meeting internationally agreed minimum standards, will be the most effective system
by which the problem of conflict diamonds could be addressed;
ACKNOWLEDGING the important initiatives already taken to address this problem,
in particular by the governments of Angola, the Democratic Republic of Congo,
Guinea and Sierra Leone and by other key producing, exporting and importing
countries, as well as by the diamond industry, in particular by the World Diamond
Council, and by civil society;
WELCOMING voluntary self-regulation initiatives announced by the diamond
industry and recognising that a system of such voluntary self-regulation contributes to
ensuring an effective internal control system of rough diamonds based upon the
international certification scheme for rough diamonds;
RECOGNISING that an international certification scheme for rough diamonds will
only be credible if all Participants have established internal systems of control
designed to eliminate the presence of conflict diamonds in the chain of producing,
exporting and importing rough diamonds within their own territories, while taking
into account that differences in production methods and trading practices as well as
differences in institutional controls thereof may require different approaches to meet
minimum standards;
FURTHER RECOGNISING that the international certification scheme for rough
diamonds must be consistent with international law governing international trade;
ACKNOWLEDGING that state sovereignty should be fully respected and the
principles of equality, mutual benefits and consensus should be adhered to;
RECOMMEND THE FOLLOWING PROVISIONS:
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SECTION I
Definitions
For the purposes of the international certification scheme for rough diamonds
(hereinafter referred to as “the Certification Scheme”) the following definitions apply:
CONFLICT DIAMONDS means rough diamonds used by rebel movements or their
allies to finance conflict aimed at undermining legitimate governments, as described
in relevant United Nations Security Council (UNSC) resolutions insofar as they
remain in effect, or in other similar UNSC resolutions which may be adopted in the
future, and as understood and recognised in United Nations General Assembly
(UNGA) Resolution 55/56, or in other similar UNGA resolutions which may be
adopted in future;
COUNTRY OF ORIGIN means the country where a shipment of rough diamonds has
been mined or extracted;
COUNTRY OF PROVENANCE means the last Participant from where a shipment of
rough diamonds was exported, as recorded on import documentation;
DIAMOND means a natural mineral consisting essentially of pure crystallised carbon
in the isometric system, with a hardness on the Mohs (scratch) scale of 10, a specific
gravity of approximately 3.52 and a refractive index of 2.42;
EXPORT means the physical leaving/taking out of any part of the geographical
territory of a Participant;
EXPORTING AUTHORITY means the authority(ies) or body(ies) designated by a
Participant from whose territory a shipment of rough diamonds is leaving, and which
are authorised to validate the Kimberley Process Certificate;
FREE TRADE ZONE means a part of the territory of a Participant where any goods
introduced are generally regarded, insofar as import duties and taxes are concerned, as
being outside the customs territory;
IMPORT means the physical entering/bringing into any part of the geographical
territory of a Participant;
IMPORTING AUTHORITY means the authority(ies) or body(ies) designated by a
Participant into whose territory a shipment of rough diamonds is imported to conduct
all import formalities and particularly the verification of accompanying Kimberley
Process Certificates;
KIMBERLEY PROCESS CERTIFICATE means a forgery resistant document with a
particular format which identifies a shipment of rough diamonds as being in
compliance with the requirements of the Certification Scheme;
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OBSERVER means a representative of civil society, the diamond industry,
international organisations and non-participating governments invited to take part in
Plenary meetings; (Further consultations to be undertaken by the Chair.)
PARCEL means one or more diamonds that are packed together and that are not
individualised;
PARCEL OF MIXED ORIGIN means a parcel that contains rough diamonds from
two or more countries of origin, mixed together;
PARTICIPANT means a state or a regional economic integration organisation for
which the Certification Scheme is effective; (Further consultations to be undertaken
by the Chair.)
REGIONAL ECONOMIC INTEGRATION ORGANISATION means an
organisation comprised of sovereign states that have transferred competence to that
organisation in respect of matters governed by the Certification Scheme;
ROUGH DIAMONDS means diamonds that are unworked or simply sawn, cleaved or
bruted and fall under the Relevant Harmonised Commodity Description and Coding
System 7102.10, 7102.21 and 7102.31;
SHIPMENT means one or more parcels that are physically imported or exported;
TRANSIT means the physical passage across the territory of a Participant or a non-
Participant, with or without transhipment, warehousing or change in mode of
transport, when such passage is only a portion of a complete journey beginning and
terminating beyond the frontier of the Participant or non-Participant across whose
territory a shipment passes;
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SECTION II
The Kimberley Process Certificate
Each Participant should ensure that:
(a) a Kimberley Process Certificate (hereafter referred to as the Certificate)
accompanies each shipment of rough diamonds on export;
(b) its processes for issuing Certificates meet the minimum standards of the
Kimberley Process as set out in Section IV;
(c) Certificates meet the minimum requirements set out in Annex I. As long as these
requirements are met, Participants may at their discretion establish additional
characteristics for their own Certificates, for example their form, additional data or
security elements;
(d) it notifies all other Participants through the Chair of the features of its Certificate
as specified in Annex I, for purposes of validation.
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SECTION III
Undertakings in respect of the international trade in rough diamonds
Each Participant should:
(a) with regard to shipments of rough diamonds exported to a Participant, require that
each such shipment is accompanied by a duly validated Certificate;
(b) with regard to shipments of rough diamonds imported from a Participant:
• require a duly validated Certificate;
• ensure that confirmation of receipt is sent expeditiously to the relevant
Exporting Authority. The confirmation should as a minimum refer to
the Certificate number, the number of parcels, the carat weight and the
details of the importer and exporter;
• require that the original of the Certificate be readily accessible for a
period of no less than three years;
(c) ensure that no shipment of rough diamonds is imported from or exported to a non-
Participant;
(d) recognise that Participants through whose territory shipments transit are not
required to meet the requirement of paragraphs (a) and (b) above, and of Section II (a)
provided that the designated authorities of the Participant through whose territory a
shipment passes, ensure that the shipment leaves its territory in an identical state as it
entered its territory (i.e. unopened and not tampered with).
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SECTION IV
Internal Controls
Undertakings by Participants
Each Participant should:
(a) establish a system of internal controls designed to eliminate the presence of
conflict diamonds from shipments of rough diamonds imported into and exported
from its territory;
(b) designate an Importing and an Exporting Authority(ies);
(c) ensure that rough diamonds are imported and exported in tamper resistant
containers;
(d) as required, amend or enact appropriate laws or regulations to implement and
enforce the Certification Scheme and to maintain dissuasive and proportional
penalties for transgressions;
(e) collect and maintain relevant official production, import and export data, and
collate and exchange such data in accordance with the provisions of Section V.
(f) when establishing a system of internal controls, take into account, where
appropriate, the further options and recommendations for internal controls as
elaborated in Annex II.
Principles of Industry Self-Regulation
Participants understand that a voluntary system of industry self-regulation, as referred
to in the Preamble of this Document, will provide for a system of warranties
underpinned through verification by independent auditors of individual companies
and supported by internal penalties set by industry, which will help to facilitate the
full traceability of rough diamond transactions by government authorities.
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Section V
Co-operation and Transparency
Participants should:
(a) provide to each other through the Chair information identifying their designated
authorities or bodies responsible for implementing the provisions of this
Certification Scheme. Each Participant should provide to other Participants
through the Chair information, preferably in electronic format, on its relevant
laws, regulations, rules, procedures and practices, and update that information as
required. This should include a synopsis in English of the essential content of this
information;
(b) compile and make available to all other Participants through the Chair statistical
data in line with the principles set out in Annex III;
(c) exchange on a regular basis experiences and other relevant information, including
on self-assessment, in order to arrive at the best practice in given circumstances;
(d) consider favourably requests from other Participants for assistance to improve the
functioning of the Certification Scheme within their territories;
(e) inform another Participant through the Chair if it considers that the laws,
regulations, rules, procedures or practices of that other Participant do not ensure
the absence of conflict diamonds in the exports of that other Participant;
(f) cooperate with other Participants to attempt to resolve problems which may arise
from unintentional circumstances and which could lead to non-fulfilment of the
minimum requirements for the issuance or acceptance of the Certificates, and
inform all other Participants of the essence of the problems encountered and of
solutions found;
(g) encourage, through their relevant authorities, closer co-operation between law
enforcement agencies and between customs agencies of Participants.
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Section VI
Administrative Matters
MEETINGS
1.
Participants and Observers are to meet in Plenary annually, and on other occasions
as Participants may deem necessary, in order to discuss the effectiveness of the
Certification Scheme.
2.
Participants should adopt Rules of Procedure for such meetings at the first Plenary
meeting.
3.
Meetings are to be held in the country where the Chair is located, unless a
Participant or an international organisation offers to host a meeting and this offer
has been accepted. The host country should facilitate entry formalities for those
attending such meetings.
4.
At the end of each Plenary meeting, a Chair would be elected to preside over all
Plenary meetings, ad hoc working groups and other subsidiary bodies, which
might be formed until the conclusion of the next annual Plenary meeting.
5.
Participants are to reach decisions by consensus. In the event that consensus
proves to be impossible, the Chair is to conduct consultations.
ADMINISTRATIVE SUPPORT
6.
For the effective administration of the Certification Scheme, administrative
support will be necessary. The modalities and functions of that support should be
discussed at the first Plenary meeting, following endorsement by the UN General
Assembly.
7.
Administrative support could include the following functions:
(a) to serve as a channel of communication, information sharing and consultation
between the Participants with regard to matters provided for in this Document;
(b) to maintain and make available for the use of all Participants a collection of
those laws, regulations, rules, procedures, practices and statistics notified pursuant
to Section V;
(c) to prepare documents and provide administrative support for Plenary and
working group meetings;
(d) to undertake such additional responsibilities as the Plenary meetings, or any
working group delegated by Plenary meetings, may instruct.
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PARTICIPATION
8.
Participation in the Certification Scheme is open on a global, non-discriminatory
basis to all Applicants willing and able to fulfill the requirements of that Scheme.
9.
Any applicant wishing to participate in the Certification Scheme should signify its
interest by notifying the Chair through diplomatic channels. This notification
should include the information set forth in paragraph (a) of Section V and be
circulated to all Participants within one month.
10.
Participants intend to invite representatives of civil society, the diamond industry,
non-participating governments and international organizations to participate in
Plenary meetings as Observers.
PARTICIPANT MEASURES
11.
Participants are to prepare, and make available to other Participants, in advance of
annual Plenary meetings of the Kimberley Process, information as stipulated in
paragraph (a) of Section V outlining how the requirements of the Certification
Scheme are being implemented within their respective jurisdictions.
12.
The agenda of annual Plenary meetings is to include an item where information as
stipulated in paragraph (a) of Section V is reviewed and Participants can provide
further details of their respective systems at the request of the Plenary.
13.
Where further clarification is needed, Participants at Plenary meetings, upon
recommendation by the Chair, can identify and decide on additional verification
measures to be undertaken. Such measures are to be implemented in accordance
with applicable national and international law. These could include, but need not
be limited to measures such as;
a. requesting additional information and clarification from Participants;
b. review missions by other Participants or their representatives where
there are credible indications of significant non-compliance with the
Certification Scheme.
14.
Review missions are to be conducted in an analytical, expert and impartial manner
with the consent of the Participant concerned. The size, composition, terms of
reference and time-frame of these missions should be based on the circumstances
and be established by the Chair with the consent of the Participant concerned and
in consultation with all Participants.
15.
A report on the results of compliance verification measures is to be forwarded to
the Chair and to the Participant concerned within three weeks of completion of the
mission. Any comments from that Participant as well as the report, are to be
posted on the restricted access section of an official Certification Scheme website
no later than three weeks after the submission of the report to the Participant
concerned. Participants and Observers should make every effort to observe strict
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confidentiality regarding the issue and the discussions relating to any compliance
matter.
COMPLIANCE AND DISPUTE PREVENTION
16.
In the event that an issue regarding compliance by a Participant or any other issue
regarding the implementation of the Certification Scheme arises, any concerned
Participant may so inform the Chair, who is to inform all Participants without
delay about the said concern and enter into dialogue on how to address it.
Participants and Observers should make every effort to observe strict
confidentiality regarding the issue and the discussions relating to any compliance
matter.
MODIFICATIONS
17.
This document may be modified by consensus of the Participants.
18.
Modifications may be proposed by any Participant. Such proposals should be sent
in writing to the Chair, at least ninety days before the next Plenary meeting, unless
otherwise agreed.
19.
The Chair is to circulate any proposed modification expeditiously to all
Participants and Observers and place it on the agenda of the next annual Plenary
meeting.
REVIEW MECHANISM
20.
Participants intend that the Certification Scheme should be subject to periodic
review, to allow Participants to conduct a thorough analysis of all elements
contained in the scheme. The review should also include consideration of the
continuing requirement for such a scheme, in view of the perception of the
Participants, and of international organisations, in particular the United Nations,
of the continued threat posed at that time by conflict diamonds. The first such
review should take place no later than three years after the effective starting date
of the Certification Scheme. The review meeting should normally coincide with
the annual Plenary meeting, unless otherwise agreed.
THE START OF THE IMPLEMENTATION OF THE SCHEME
21.
The Certification Scheme should be established at the Ministerial Meeting on the
Kimberley Process Certification Scheme for Rough Diamonds in Interlaken on 5
November 2002.
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22.
ANNEX I
Certificates
A. Minimum requirements for Certificates
A Certificate is to meet the following minimum requirements:
• Each Certificate should bear the title “Kimberley Process Certificate” and the
following statement: “The rough diamonds in this shipment have been handled in
accordance with the provisions of the Kimberley Process Certification Scheme for
rough diamonds”
• Country of origin for shipment of parcels of unmixed (i.e. from the same) origin
• Certificates may be issued in any language, provided that an English translation is
incorporated
• Unique numbering with the Alpha 2 country code, according to ISO 3166-1
• Tamper and forgery resistant
• Date of issuance
• Date of expiry
• Issuing authority
• Identification of exporter and importer
• Carat weight/mass
• Value in US$
• Number of parcels in shipment
• Relevant Harmonised Commodity Description and Coding System
• Validation of Certificate by the Exporting Authority
B. Optional Certificate Elements
A Certificate may include the following optional features:
• Characteristics of a Certificate (for example as to form, additional data or security
elements)
• Quality characteristics of the rough diamonds in the shipment
• A recommended import confirmation part should have the following elements:
Country of destination
Identification of importer
Carat/weight and value in US$
Relevant Harmonised Commodity Description and Coding System
Date of receipt by Importing Authority
Authentication by Importing Authority
C. Optional Procedures
Rough diamonds may be shipped in transparent security bags.
The unique Certificate number may be replicated on the container.
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Annex II
Recommendations as provided for in Section IV, paragraph (f)
General Recommendations
1. Participants may appoint an official coordinator(s) to deal with the
implementation of the Certification Scheme.
2. Participants may consider the utility of complementing and/or enhancing the
collection and publication of the statistics identified in Annex III based on the
contents of Kimberley Process Certificates.
3. Participants are encouraged to maintain the information and data required by
Section V on a computerised database.
4. Participants are encouraged to transmit and receive electronic messages in order to
support the Certification Scheme.
5. Participants that produce diamonds and that have rebel groups suspected of
mining diamonds within their territories are encouraged to identify the areas of
rebel diamond mining activity and provide this information to all other
Participants. This information should be updated on a regular basis.
6. Participants are encouraged to make known the names of individuals or
companies convicted of activities relevant to the purposes of the Certification
Scheme to all other Participants through the Chair.
7. Participants are encouraged to ensure that all cash purchases of rough diamonds
are routed through official banking channels, supported by verifiable
documentation.
8. Participants that produce diamonds should analyse their diamond production
under the following headings:
• Characteristics of diamonds produced
• Actual production
Recommendations for Control over Diamond Mines
9. Participants are encouraged to ensure that all diamond mines are licensed and to
allow only those mines so licensed to mine diamonds.
10. Participants are encouraged to ensure that prospecting and mining companies
maintain effective security standards to ensure that conflict diamonds do not
contaminate legitimate production.
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Recommendations for Participants with Small-scale Diamond Mining
11. All artisinal and informal diamond miners should be licensed and only those
persons so licensed should be allowed to mine diamonds.
12. Licensing records should contain the following minimum information: name,
address, nationality and/or residence status and the area of authorised diamond
mining activity.
Recommendations for Rough Diamond Buyers, Sellers and Exporters
13. All diamond buyers, sellers, exporters, agents and courier companies involved in
carrying rough diamonds should be registered and licensed by each Participant’s
relevant authorities.
14. Licensing records should contain the following minimum information: name,
address and nationality and/or residence status.
15. All rough diamond buyers, sellers and exporters should be required by law to keep
for a period of five years daily buying, selling or exporting records listing the
names of buying or selling clients, their license number and the amount and value
of diamonds sold, exported or purchased.
16. The information in paragraph 14 above should be entered into a computerised
database, to facilitate the presentation of detailed information relating to the
activities of individual rough diamond buyers and sellers.
Recommendations for Export Processes
17. A exporter should submit a rough diamond shipment to the relevant Exporting
Authority.
18. The Exporting Authority is encouraged, prior to validating a Certificate, to require
an exporter to provide a declaration that the rough diamonds being exported are
not conflict diamonds.
19. Rough diamonds should be sealed in a tamper proof container together with the
Certificate or a duly authenticated copy. The Exporting Authority should then
transmit a detailed e-mail message to the relevant Importing Authority containing
information on the carat weight, value, country of origin or provenance, importer
and the serial number of the Certificate.
20. The Exporting Authority should record all details of rough diamond shipments on
a computerised database.
Recommendations for Import Processes
21. The Importing Authority should receive an e-mail message either before or upon
arrival of a rough diamond shipment. The message should contain details such as
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the carat weight, value, country of origin or provenance, exporter and the serial
number of the Certificate.
22. The Importing Authority should inspect the shipment of rough diamonds to verify
that the seals and the container have not been tampered with and that the export
was performed in accordance with the Certification Scheme.
23. The Importing Authority should open and inspect the contents of the shipment to
verify the details declared on the Certificate.
24. Where applicable and when requested, the Importing Authority should send the
return slip or import confirmation coupon to the relevant Exporting Authority.
25. The Importing Authority should record all details of rough diamond shipments on
a computerised database.
Recommendations on Shipments to and from Free Trade Zones
26. Shipments of rough diamonds to and from free trade zones should be processed by
the designated authorities.
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Annex III
Statistics
Recognising that reliable and comparable data on the production and the international
trade in rough diamonds are an essential tool for the effective implementation of the
Certification Scheme, and particularly for identifying any irregularities or anomalies
which could indicate that conflict diamonds are entering the legitimate trade,
Participants strongly support the following principles, taking into account the need to
protect commercially sensitive information:
(a) to keep and publish within two months of the reference period and in a
standardised format, quarterly aggregate statistics on rough diamond exports and
imports, as well as the numbers of certificates validated for export, and of imported
shipments accompanied by Certificates;
(b) to keep and publish statistics on exports and imports, by origin and provenance
wherever possible; by carat weight and value; and under the relevant Harmonised
Commodity Description and Coding System (HS) classifications 7102.10; 7102.21;
7102.31;
(c) to keep and publish on a semi-annual basis and within two months of the
reference period statistics on rough diamond production by carat weight and by value.
In the event that a Participant is unable to publish these statistics it should notify the
Chair immediately;
(d) to collect and publish these statistics by relying in the first instance on existing
national processes and methodologies;
(e) to make these statistics available to an intergovernmental body or to another
appropriate mechanism identified by the Participants for (1) compilation and
publication on a quarterly basis in respect of exports and imports, and (2) on a semi-
annual basis in respect of production. These statistics are to be made available for
analysis by interested parties and by the Participants, individually or collectively,
according to such terms of reference as may be established by the Participants;
(f) to consider statistical information pertaining to the international trade in and
production of rough diamonds at annual Plenary meetings, with a view to addressing
related issues, and to supporting effective implementation of the Certification
Scheme.

[alexomi]

i am interested pls help

[fireopal]

what do you need in detail?