1. ICGLR: Mineral Tracking & Certification Scheme

2. The Four Principle Elements
1. Mineral Tracking -- source to export
2. A regional database
3. Regular 3rd party audits
4. An independent Mineral Chain auditor
ICGLR

3. Element 1: Chain of Custody Tracking from Approved Mine Site to Export
1. Mine site inspection/approval
2.Chain of Custody tracking
from Mine to Export
3. ICGLR Regional certificates
ICGLR

4. 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, environment
Standard Developed by ICGLR Standards Committee
Members drawn from government, industry, civil society
Developed through multi-stakeholder consultation
Reviewed regularly
ICGLR

5. 2. Chain of Custody Tracking
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
ICGLR

6. 2. Chain of Custody Tracking
DRC
Rwanda
Abroad
Domestic
Production
Comptoirs
Artisanal Dig Site
(certifiable)
End
Users A
Reprocessing Centre
Artisanal
Traders
- CEEC, Div. Mines, SAESSCAM all present to register, track productions
Formal Mine
Smelter B
Reprocessing
Centre
Chain of custody tracking
Artisanal Dig Site
(Non-certifiable)
OGMR D
Div Mines
CEEC
SAESSCAM
ICGLR

7. 3. Issuing ICGLR Regional Certificates
ICGLR Regional Certificate issued to mineral exports that have the appropriate chain of custody documents
Certificate serves as sole proof of compliance throughout region
ICGLR

8. Issuing Certificates – DRC & Rwanda
Abroad
Domestic
Production
Comptoirs
Artisanal Dig Site
(certifiable)
End
Users A
Reprocessing Centre
Centre de Negoce
protected by MONUC
- CEEC, Div. Mines, SAESSCAM all present to register, track productions
Formal Mine
Smelter B
Reprocessing
Centre
Artisanal Dig Site
(Non-certifiable)
OGMR D
ICGLR Regional Certificate
Div Mines
CEEC
SAESSCAM
ICGLR

9. ICGLR

10. Regional Tracking of Mineral Flows using an ICGLR database
Data Flows open and public for transparency and legitimacy
Responsibility of ICGLR Secretariat
ICGLR

11. Regional Tracking via ICGLR Database
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
ICGLR

12. 2. ICGLR Database Smelter A B C D ICGLR Database DRC Rwanda Abroad
Domestic
Production
Comptoirs
Artisanal Dig Site
(certifiable)
End
Users A
Reprocessing Centre
Centre de Negoce
protected by MONUC
- CEEC, Div. Mines, SAESSCAM all present to register, track productions
Formal Mine
Smelter B C
Artisanal Dig Site
(Non-certifiable) D
ICGLR Database
ICGLR

13. Regular Independent 3rd Party Audits
2. Audit Committee
3. Funding Audits
4.Scope of audits
ICGLR

14. 1. Regular 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)
ICGLR

15. 2. Audit Committee – Composition
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)
ICGLR

16. 2. Audit Committee – Powers
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
ICGLR

17. $ Audit Escrow Account $
3. Funding Audits
DRC
Rwanda
Abroad
Comptoirs
End
Users A
Smelter
Reprocessing Centre
Formal Mine B $$ $$
Auditor
Auditor
$$ per tonne
Reports
Reports $ $
ICGLR Audit Committee
$ Audit Escrow Account $
ICGLR

18. Reprocessing Centre Audit
4. Scope of Audits
DRC
Rwanda
Abroad
Artisanal Dig Site
(certifiable)
Domestic
Production
Comptoirs
End
Users A
Reprocessing Centre
Centre de Negoce
protected by MONUC
- CEEC, Div. Mines, SAESSCAM all present to register, track productions
Formal Mine
Smelter B
Reprocessing Centre Audit C
Artisanal Dig Site
(Non-certifiable)
Comptoir Audit D
ICGLR

19. Element 4: An Independent Mineral Chain Auditor
To investigate unforeseen situations that we know will arise
ICGLR

20. Independent 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
ICGLR

21. Summary - Elements of the System
Chain of custody tracking from verified and approved mine site to export
Regional Tracking of mineral flows via ICGLR database
Regular independent 3rd party audits
Independent Mineral Chain Auditor
ICGLR

22. ICGLR: Mineral Tracking & Certification Scheme
Thank you very much for your attention
Merci beaucoup pour votre attention