ICGLR: Mineral Tracking & Certification Scheme

ICGLR

1. MINERAL TRACKING -- SOURCE TO EXPORT

2. A REGIONAL DATABASE

3. REGULAR 3R D PARTY AUDITS

4. AN INDEPENDENT MINERAL CHAIN AUDITOR

The Four Principle Elements

ICGLR

Element 1: Chain of Custody Tracking from Approved Mine Site to

Export

ICGLR

1. MINE SITE INSPECTION/APPROVAL

2.CHAIN OF CUSTODY TRACKING FROM MINE TO EXPORT3. ICGLR REGIONAL CERTIFICATES

1. Mine Site Inspection &Approval

The responsibility of MS governments Physically inspect each active mine site Must check for conflict, human rights May also address working conditions,

environmentStandard Developed by ICGLR Standards

Committee Members drawn from government, industry,

civil society Developed through multi-stakeholder

consultation Reviewed regularly

ICGLR

2. Chain of Custody Tracking

ICGLR

Chain of custody tracking from mine site to export

implemented by national governments prior to export must be able to track national production from pit to

export point must be able to track minerals imported and then re-

exported Before export, review chain of custody documents to

establish that minerals can be tracked from mine site to exporter (producer countries), or border post to exporter (reprocessing countries)

Can be outsourced to private sector/NGOs But must still meet ICGLR standards for mineral

tracking, transparency, data sharing Mineral Chain Auditor inspects systems for ICGLR

compliance Done prior to systems going live

2. Chain of Custody Tracking

ICGLR

Artisanal Traders

- - CEEC, Div. Mines,

SAESSCAM all present to

register, track productions

A

B

D

Reprocessing

C

entre

Formal Mine

Smelter

Artisanal Dig Site(certifiable)

Comptoirs

DRC Rwanda AbroadDomestic Production End

Users

Artisanal Dig Site(Non-certifiable)

Reprocessin

gC

entre

Div MinesCEECSAESSCAM

OGMR

Chai

n of

cu

stod

y tra

ckin

g

3. Issuing ICGLR Regional Certificates

ICGLR

ICGLR Regional Certificate issued to mineral exports that have the appropriate chain of custody documents Certificate serves as sole proof of compliance throughout

region

Issuing Certificates – DRC & Rwanda

ICGLR

Centre de Negoce- protected by

MONUC- - CEEC, Div.

Mines, SAESSCAM all

present to register, track productions

A

B

D

Reprocessing

C

entre

Formal Mine

Smelter

Artisanal Dig Site(certifiable)

Comptoirs

DRC Rwanda AbroadDomestic Production End

Users

Artisanal Dig Site(Non-certifiable)

Reprocessin

gC

entre

Div MinesCEECSAESSCAM

OGMR

ICGLR Regional Certificate

ICGLR

DATA FLOWS OPEN AND PUBLIC FOR TRANSPARENCY AND LEGITIMACY

RESPONSIBILITY OF ICGLR SECRETARIAT

Regional Tracking of Mineral Flows using an

ICGLR database

ICGLR

Regional Tracking via ICGLR Database

ICGLR

Regional Tracking of mineral flows by ICGLR database

Data on regional mineral flows transmitted to ICGLR on a monthly basis

For each participant, data will be analysed to determine if exports equal legal imports

In case of imbalance, participant given a chance to explain and correct. If this is not done, participant will be declared non-compliant

All data and analyses will be stored on publicly accessible database

2. ICGLR Database

ICGLR

Centre de Negoce- protected by

MONUC- - CEEC, Div.

Mines, SAESSCAM all

present to register, track productions

A

B

C

D

Reprocessing

C

entre

Formal Mine Sm

elter

Artisanal Dig Site(certifiable)

Comptoirs

DRC Rwanda AbroadDomestic Production

End Users

Artisanal Dig Site(Non-certifiable)

ICGLR Database

1.REGULAR INDEPENDENT 3 R D PARTY AUDITS

2 . AUDIT COMMITTEE

3. FUNDING AUDITS

4 .SCOPE OF AUDITS

Regular Independent 3rd Party Audits

ICGLR

1. Regular Independent 3rd Party Audits

ICGLR

Independent 3rd Party Audits System is ‘dual-key’ – need to prove chain of

custody to get ICGLR certificate and have to pass 3rd party audit

All exporters (comptoirs/processors) must submit to regular audits by independent third party auditors

Exporters (comptoirs/processors) must pass audits (i.e. those failing audits will be declared non-compliant)

2. Audit Committee – Composition

ICGLR

Audit Committee will be composed of government, industry and civil society Suggest 3 government, 2 industry, 2 civil society Industry – FEC, ITRI Civil Society – International NGOs (PAC, GW, IPIS, etc)

– National NGOs (CENADEP, OGP, etc)

2. Audit Committee – Powers

ICGLR

Accredits auditors Determines which auditors have the competence and

independence to perform credible audits Sets audit terms of reference for audits

Check list of where to look, what to look for Determines frequency of audits Commissions Auditors

Suggestion: Open bidding process Committee receives finishes results

Reads, comments, publishes on website Recommends further action

3. Funding Audits

ICGLR

A

B

Reprocessing

C

entre

Formal Mine

Smelter

ComptoirsDRC Rwanda Abroad

End Users

ICGLR Audit Committee $ Audit Escrow Account $

$$ per tonne

$$

$$

Auditor

$ ReportsAuditor

$ Reports

4. Scope of Audits

ICGLR

Centre de Negoce- protected by

MONUC- - CEEC, Div.

Mines, SAESSCAM all

present to register, track productions

A

B

C

D

Reprocessing

C

entre

Formal Mine Sm

elter

Artisanal Dig Site(certifiable) Comptoirs

DRC Rwanda AbroadDomestic Production End

Users

Artisanal Dig Site(Non-certifiable)

Comptoir Audit

Reprocessing Centre

Audit

TO INVESTIGATE UNFORESEEN SITUATIONS THAT WE KNOW WILL ARISE

Element 4: An Independent Mineral Chain Auditor

ICGLR

Independent Mineral Chain Auditor

ICGLR

Mineral Chain Auditor The Mineral Chain Auditor will monitor the full

mineral chain for discrepancies and anomalies arising from data collected in system

The Mineral Chain Auditor has authority and resources to initiate investigations at their own discretion

The Mineral Chain Auditor is appointed by the ICGLR Executive Secretary from a candidates list submitted by the the Steering Committee

The Mineral Chain Auditor is the last line of defence Can react to unforeseen situations close loopholes that were not foreseen when system

created

Summary - Elements of the System

ICGLR

1. Chain of custody tracking from verified and approved mine site to export

2. Regional Tracking of mineral flows via ICGLR database

3. Regular independent 3rd party audits4. Independent Mineral Chain Auditor

ICGLR: Mineral Tracking & Certification Scheme

Thank you very much for your attention

Merci beaucoup pour votre attention