1. Clarifying Certification Language, Components & Process
Estelle Levin
7th October 2008
8th Annual CASM Conference

2. Presentation Content A very short history of certification
What is certification?
Different types of certification
Language and definitions
Certification fundamentals
How to set up a certification system
Who is setting up certification for ASM?

3. A Very Short History of Certification!
Neoliberal Structural Adjustment
Deregulation
Damage to vulnerable people and the commons
(the environment, indigenous cultures)
NGO Campaigns Consumer Pressure
Alternative models of governance and assurance
(e.g. certification, corporate social responsibility)

4. Different types of Assurance
Principle modes of governance for assuring social and environmental protection:
CERTIFICATION IS NOT THE ONLY OPTION
and may not be the best one!
IT DEPENDS ON YOUR OBJECTIVES!
SYSTEM
OWNER
DRIVER
Government Regulations
Government
Elections
Protect political position
Corporate Social & Environmental Responsibility
Corporation
Brand / risk management
Profit
Protect access to resources (land, capital, labour)
Voluntary Certification Systems
Multiple Stakeholders
Protect the commons (environment, cultural diversity) and vulnerable populations.

5. Key Questions for Deciding on Certification as the right Governance Tool
What are the project’s objectives?
Is the goal to protect the commons or something else?
How important is third party assurance? Would first or second-party suffice?
Therefore….
Is certification the best way to achieve these goals?
Or are there other assurance systems that would achieve these more
cheaply?
easily?
quickly?
effectively?

6. Level of Independence in Assurance
The assessment is conducted by:
First party
The person or organisation that is undergoing evaluation. A first party audit includes internal audits or peer reviews.
e.g. Company CSR Manager
Second Party
A person or body that is related to, or has an interest in the person or organisation being evaluated, such as a client or purchaser of products from the organisation.
e.g. Buyer, Trade Association
Third Party
A person or body that is independent of the person or organisation being evaluated, and of user interests in that person or organisation. Certification and accreditation bodies most often carry out third party audits.
e.g. FLO-Cert
Based on ISEAL (2007, Module 1: 24)

7. Certification is ONE TYPE OF ASSURANCE.
What is Certification?
Certification is ONE TYPE OF ASSURANCE.
The PURPOSE of certification of artisanal minerals or producers is to:
Provide the structure and procedures to achieve specific commercial or developmental goals.
Assure the consumer of some type of quality, i.e. that that certain goals have been met.
 It is a PROMISE or GUARANTEE that a particular governance system has been applied and specific standards have been achieved

8. Different types of Certification
Certification can assure 4 main things:
Product / manufacturing quality
Management systems
Origin / chain of custody
Process & Production Methods
A system which assures all of these things provides
total quality or ethical assurance

9. Type of Certification What is Certified? Useful questions Examples
Product quality
Naturalness or quality of manufacture
What is the purity of the gold?
Has the gem been heat treated?
Is the diamond synthetic?
Assaying gold
Checking gems for irradiation
Management systems
How the organisation manages its risks and opportunities
How the organisation is run
Is there an environmental management plan?
Is there an accident & emergency plan?
What is the mine security strategy?
How comprehensive / effective / feasible are these plans and strategies? Are they properly implemented?
Are governance structures democratic and transparent?
ISO14001
ISO 9001
SA8000
Origin / chain of custody
Where the product comes from (origin)
Where does the product come from?
Who has owned and traded the product?
KPCS
ICGLR
Process & Production Methods
Social and environmental issues relating to HOW something is produced (mined, farmed, fished, processed)
Are children involved in extraction or processing? What do they do?
Is mercury used to extract the gold?
Do women have equal access to opportunities in the mine?
Fair Trade
Forest Stewardship Council

10. Language & Definitions 1
Normative Document can be a Standard, Code of practice, Technical Specification and Regulation.
Standard
Provides the rules, guidelines or characteristics.
Sets out the Objectives, Scope, Principles, Requirements / Criteria, and Indicators
May also deal with terminology, symbols, packaging, marking or labelling requirements.
Principles are the values and goals, which guide how a Standard is drafted, implemented and used for auditing purposes. These are a statement of intent.
Criteria or Requirements
Derived from the principles.
Used to judge the organisation or product’s compliance with the standard.
Audited against using pre-determined indicators.

11. Language & Definitions 2
Conformity Assessment
Is the assessment of conformity with a standard.
Encompasses verification, certification, and accreditation.
Verification
An assessor or inspector verifies that requirements of a standard have been fulfilled.
Verification results are used to decide certification or accreditation.
Certification
A decision on certification is taken based on information provided by the inspector or assessor who conducted verification.
Third-party attestation that fulfilment of specified requirements has been demonstrated.
Accreditation
Third-party attestation of a certification body’s competence to carry out specific conformity assessment tasks.

12. Certification Fundamentals
The following need to be identified or decided upon:
The Compliance Mechanism
The Compliance Assessment
Monitoring
Verification
Certification
Accreditation
The Assessment Cycle
Labelling
Financial Structure
Capacity-building
Traceability & supply chain integrity
Cultural prerequisites for good governance
Purpose / Objectives
Needs Assessment / Feasibility Study
Product
Stakeholders
Consultation Process
Normative Documents
Policies and Procedures
Governance framework

13. Key objectives in how a Certification System is developed
Simple!
Productive (i.e. it must realise its objectives),
Financially independent
Financially sustainable over time
Legitimate amongst key stakeholders
Applicable in a variety of contexts (universalism).
(or the principles may be universals but the requirements etc. can be specific to certain producers and countries )

14. ISEAL Certification Development Process (based on Code of Practice)
Document procedures for the process (TOR) and justification for the certification system
Consult on TOR
Develop first draft of Standard
Publish the work programme at least once every 6 months, including contact point
Conduct public review (consultation)
Compile comments received
Re-draft Standard, work programme etc.
Publish the standard
Repeat 4 to 7
Other core aspects:
Consensus record-keeping
Regular review (every 5 years)
Provide a focal point
Manage how requirements are presented

15. Minerals Certification Initiatives
CTC - Certified Trading Chains
ARM - Association for Responsible Mining
KPCS - Kimberley Process Certification System
ICGLR - International Conference on the Great Lakes Region
CRJP - Council for Responsible Jewellery Practices
IRMA - Initiative for Responsible Mining Assurance
Various diamonds efforts

16. Thank you! Estelle Levin Resource Consulting Services, Limited