Certification Fundamentals Making certification work for ASM & development

1. Certification FundamentalsMaking certification work for ASM & development Presentation at 8th Annual CASM Conference Estelle Levin 7th October 2008

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!

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 Based on ISEAL (2007, Module 1: 24)

7. 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

10. Language & Definitions 1 • Normative Documentcan 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. • Criteriaor Requirements • Derived from the principles. • Used to judge the organisation or product’s compliance with the standard. • Audited against using pre-determined indicators. • Process and production method standard sets out criteria for the processes and/or production methods in pursuit of specific social and/or environmental objectives.

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. How to develop a certification system Certification works by • Developing goals and requirements through multi-stakeholder negotiations, • Establishing specific governance system, which isoriented at achieving these goals, • Verifying that the system is being properly implemented through compliance audits and ongoing capacity-building and monitoring, and • Providing a certificate and/or label as proof of this verification.

15. 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

16. 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

17. Thank you! Estelle Levin Resource Consulting Services, Limited estellelevin@resourceglobal.co.uk +44 1223 241042