WORLD TRADE
ORGANIZATIONG/C/W/431
12 November 2002
(02-6228)
Council for Trade in Goods Original:  English
KIMBERLEY PROCESS  CERTIFICATION SCHEME FOR ROUGH DIAMONDS –
REQUEST FOR A WTO WAIVER
Communication from Canada, Japan and Sierra Leone
The following communication, dated 11 November 2002, has been received from the
Permanent Mission of Canada on behalf of Canada, Japan and Sierra Leone.
__________
In accordance with Article IX:3(b) of the WTO Agreement, Canada, Japan and Sierra Leone,
WTO Members that have expressed their intent to implement the recently concluded Kimberley
Process Certification Scheme adopted by the Interlaken Declaration of 5 November, 2002  on the
Kimberley Process Certification Scheme for Rough Diamonds (Interlaken Declaration)  have the
honour to submit to the Council for Trade in Goods a request for a waiver in order to allow each such
Member to take measures necessary to give effect to the trade restrictions related to international tradein rough diamonds outlined in the Kimberley Process Certification Scheme.  The request covers trade
in rough diamonds coming within Harmonize d Commodity Description and Coding System
subheadings 7102.10, 7102.21 and 7102.31.  We enclose a short communication to WTO Members
that explains the background to this request as well as a draft decision text in respect of the waiver
requested.  The Interlaken Declaration including its Annex - Kimberley Process Certification Scheme
- is attached to this request.
1. Purpose of the request
On November 5, 2002, Kimberley Process Participan ts in the Interlaken Declaration  (Angola,
Australia, Botswana, Brazil, Burkina Faso, Canada, Côte d'Ivoire, Peoples Republic of China, Cyprus,
Czech Republic, Democratic Republic of Congo, the European Community, Gabon, Ghana, Guinea,India, Israel, Japan, Republic of Korea, Lesoth o, Malta, Mauritius, Mexico, Namibia, Norway,
Philippines, Russian Federation, Sierra Leone, South Africa, Swaziland, Switzerland, Tanzania,
Thailand, Ukraine, United Arab Emirates, United St ates of America, and Zimbabwe) expressed their
intent to implement an international scheme of  certification for rough diamonds, with a view  to
helping to break the link between armed conflict and the trade in rough diamonds.  The InterlakenDeclaration, inter alia , outlines measures to be taken by Participants with respect to the international
trade in rough diamonds between and among Kimberley Process Certification Scheme Participants as
well as with respect to trade between Kimberley Process Certification Scheme  
 Participants and non-
Participants.
The Kimberley Process Certification Scheme aims  to prevent conflict diamonds from entering
the legitimate diamond trade.  The legitimate diamond trade plays an important role in the process of
economic growth and overall development of a large number of countries, including many developingG/C/W/431
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countries.  Considering that the trade regime outlined in the Kimberley Process Certification Scheme
aims to curb the trade in conflict diamonds while supporting the legitimate diamond trade in the world
trading system, Canada, Japan and Sierra Leone present this request for a waiver to allow them to take
measures necessary to regulate the import and export of rough diamonds as outlined in the
Certification Scheme.  A waiver from the provisions of Article I:1,  Article XI: 1, and Article XIII:1of the GATT 1994 will lend legal certainty to the relationship between those measures and the GATT
1994.
2. Background and circumstances justifying the waiver
             Kimberley Process Certification Scheme Participants recognize that the vast majority of
rough diamonds traded in the world are from legitimate sources and, moreover, that these diamonds
represent a valuable resource for economic and social development.  However, international concern
regarding the link between the illicit trade in rough diamonds and armed conflict in some parts of
Africa has motivated the international community to  take measures to end the trade in conflict
diamonds.  The trade in conflict diamonds is directly linked to fuelling armed conflict, the activities ofrebel movements aimed at undermining or overthrowing legitimate governments, and the illicit traffic
in, and proliferation of, armaments, es pecially small arms and light weapons.
The United Nations has recognized the extraord inary humanitarian nature of this issue, the
devastating impact of conflicts fuelled by the trade in conflict diamonds on the peace, safety andsecurity of people in affected countries and the systematic and gross human rights violations that have
been perpetrated in such conflicts.  Beginning in 1998, the Security Council adopted a series of
resolutions aimed at restricting the trade in conflict diamonds. Subsequently, the United Nations
General Assembly adopted two resolutions (December 2000; March 2002) calling on the international
community to develop, finalize and implement proposa ls for an international certification scheme for
rough diamonds as soon as possible, recognizing the urgency of the situation from a humanitarian and
security standpoint.
 Since May 2000, South Africa has led the Kimberley Process, which has brought together
governments of diamond producers, exporters, and importers, as well as representatives from the
diamond industry and non-governmental organizations , to discuss additional practical measures to
combat trade in conflict diamonds.  The Process developed a set of detailed proposals for aninternational system of certification that aims to strengthen control over the legitimate trade in rough
diamonds, thereby preventing conflict diamonds from entering into the legitimate diamond trade.
Following an inclusive negotiating process, on November 5, 2002, Kimberley Process
Participants adopted the Interlaken Declaration, which embodies  the Kimberley Process CertificationScheme for certification of rough diamonds. As noted in its Preamble, the Certification Scheme
reflects the determination of the Participants to contribute to and support the implementation of the
measures provided for in the United Nations Secur ity Council resolutions and responds to call of the
United Nations General Assembly to give urgent and careful consideration to devising effective and
pragmatic measures to address the problem of conflict diamonds.  The Participants in the CertificationScheme intend to implement domestic measures that will inter alia  eliminate their trade in rough
diamonds with non-Participants.
The devastation financed by the trade in conflict diamonds is concentrated in a handful of
countries.  However, in light of the global nature of the trade in rough diamonds, combating thisexceptional problem demands a continuing commitment by all members of the international
community, in cooperation with other important stakeholders, such as the international diamond
industry, civil society and multilateral organizations.  Kimberley Process participants consider that the
measures outlined in the Kimberley Process Certification Scheme are necessary to break the linkG/C/W/431
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between armed conflict and the trade in rough diamonds.  It is important to the success of the
Certification Scheme that WTO Members recognize the exceptional circumstances of the trade in
conflict diamonds, and provide the legal certainty necessary for the Scheme's effective
implementation by granting the requested waiver under Article IX:3 to  support the humanitarian and
security goals of the Kimberley Process.
The Kimberley Process supports the  trade and economic development of all diamond trading
countries in a manner consistent with the objectives of the WTO.  It represents a positive effort to
ensure that the diamond trade continues to make an important contribution to the economic
development of developing countries. The Certification Scheme does not foresee the creation of any
impediment to the reduction or the elimination of tariffs, or other restrictions to trade on a most
favoured nation basis.
The effectiveness of the Certification Scheme will depend on the involvement of all key
participants in the international trade in rough diamonds, and inclusive participation in the
Certification Scheme continues to be encouraged and facilitated, thus minimizing any disruption in
the legitimate diamond trade.
Participants in the Kimberley Process Certification Scheme have expressed their intent to
launch the certification scheme beginning 1st January 2003.  They intend to conduct a review of the
Certification Scheme, including consideration of the continuing need for such a scheme, in 2006.
Thirty-seven of the thirty-nine Kimberley Certif ication Scheme Participants are Members of the
WTO.
3. Description of the measures for which a waiver is requested
              The requested waiver would apply to domestic measures,  necessary to give effect to the
import and export restrictions and prohibitions outlined in the Kimberley Process Certification
Scheme, Section III, paragraph c - AUndertakings in  respect of the international trade in rough
diamonds@, which Members that are Kimberley Process Certification Scheme Participants intend to
take.  Section III, paragraph c is as follows:
Each Participant should:
(c) ensure that no shipment of rough diamonds is imported from or exported to a non-
Participant; [...]
For the purposes of the Kimberley Process Certification Scheme, Arough diamonds@ are
defined as: Adiamonds that are unworked or simply sawn, cleaved or bruted and fall under therelevant Harmonized Commodity Descript ion and Coding System 7102.10, 7102.21 and 7102.31.@
4. Conclusion
The requesting Members request on the basis of Article IX:3 of the Marrakesh Agreement
Establishing the World Trade Organization, a waiver from their obligations under Article I:1, Article
XI:1, and Article XIII:1 of the GATT 1994 with respect to domestic measures necessary to give effect
to the rough diamond import and export restrictions and prohibitions outlined in the Kimberley
Process Certification Scheme for the period from January 1, 2003 to December 31, 2006.
The requesting Members request that the Council for Trade in Goods give their application
for a waiver expeditious and favourable consideration.  In the meantime, the Members submitting this
waiver request are prepared to give full consideration to representations made to them by other WTO
Members and to engage in consultations with them as may be necessary.G/C/W/431
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INTERLAKEN DECLARATION
OF 5 NOVEMBER 2002 ON
THE KIMBERLEY PROCESS CERTIFICATION SCHEME
FOR ROUGH DIAMONDS
We, the Ministers and other Heads of Delegation of Angola, Australia, Botswana, Brazil, Burkina
Faso, Canada, Cote dIvoire, People's Republic  of China, Cyprus, Czech Republic, Democratic
Republic of Congo, the European Community, Ga bon, Ghana, Guinea, India, Israel, Japan,
Republic of Korea, Lesotho, Malta, Mauritius, Mexico, Namibia, Norway, Philippines, Russian
Federation, Sierra Leone, South Africa, Swaziland, Switzerland, Tanzania, Thailand, Ukraine,
United Arab Emirates, United States of America and Zimbabwe , meeting in Interlaken,
Switzerland, on 5 November 2002, on the occasion of the launch of the Kimberley Process
Certification Scheme:
Re-iterating  our deep concern about the international trade in conflict diamonds, which can be
directly linked to the fuelling of armed conflicts, 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. We are further concerned about the consequent
devastating impact of such conflicts 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;
Recalling the United Nations General Assembly Resolution 55/56 (2000), which calls on the
international community to give urgent and careful consideration to devising effective and pragmatic
measures to address this problem, and Resolution 56/263 (2002), which welcomed the detailed
proposals for an international certification scheme for rough diamonds developed in the KimberleyProcess and urged its finalisation and subsequent implementation as soon as possible;
Expressing  satisfaction with the proposals for an international certification scheme for rough
diamonds developed by the Participants in the Kimberley Process and presented to us in the form of a
Document entitled: "Kimberley Process Certification Scheme" ;
Emphasising that the widest possible participation in the Certification Scheme is essential and should
be encouraged and facilitated. To that end, we invite all those involved in the trade in rough diamonds
to join the Process without delay and if possible before 1 January 2003;
Welcoming the voluntary system of industry self-regulation, which will provide for a system of
warranties underpinned through verification by independent auditors of individual companies andsupported by internal penalties set by industry. This will help facilitate the full traceability of rough
diamonds transactions by relevant government authorities and the effective implementation of the
Kimberley Process Certification Scheme;
Noting  with appreciation the important contribution made by industry and civil society to the
development of the Kimberley Process Certification Scheme;
Recognising  that despite the important progress made within the context of the Kimberley Process to
address the problem of conflict diamonds, the effective implementation by Participants of the
Certification Scheme over the medium to longer term is of utmost importance for the success of theinitiative;
Thanking the Government of Switzerland for hosting this Ministerial meeting, as well as the
governments of South Africa, Namibia, Belgium, the Russian Federation, the United Kingdom,G/C/W/431
Page 5
Angola, Botswana and Canada for hosting meetings of the Kimberley Process, in the lead-up to this
meeting;
DECLARE THAT:
1 . We adopt the international certification scheme for rough diamonds developed by the Participants
in the Kimberley Process and presented to us in the form of the document entitled: "Kimberley
Process Certification Scheme" .
2.  We remain committed to the simultaneous launch of the Certification Scheme beginning on I
January 2003. Implementation will be based on our respective laws and internal systems of control
meeting the standards established in the Document. For applicants that decide to join after this date,
the Scheme takes effect for them following notifica tion to the Chair pursuant to Section VI, paragraph
9.
3 . We will ensure that the measures taken to implement the Kimberley Process Certification Scheme
for rough diamonds will be consistent with international trade rules.
4.  We note with appreciation the clear intention of Cyprus, the Czech Republic, Japan, Malta,
Thailand and Ukraine to become participants of the Certification Scheme by the end of 2003.
5.  We reaffirm our determination to monitor effectively the trade in rough diamonds in order to
detect and to prevent trade in conflict diamonds. We consider the Kimberley Process Certification
Scheme as an ongoing international process.
6.  We thank the Government of South Africa for agreeing to Chair the Kimberley Process in the first
year of its implementation.
7.  We request our officials to review initial progress in implementation at the first formal meeting of
the Participants of the Kimberley Process, to be held early in 2003.
INTERLAKEN, SWITZERLAND, 5 November 2002G/C/W/431
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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 c oncerned stake holders, namely producing, exporting
and importing states, the diamond industry and civil society;
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 minimumstandards, will be the most effective system by which the problem of conflict diamonds could be
addressed;G/C/W/431
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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-regul ation 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 sc heme for rough diamonds will only be credible if
all Participants have established internal system s 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 practicesas 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:G/C/W/431
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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 th ey remain in effect, or  in other similar UNSC
resolutions which may be adopted in the future, and as understood and recognised in United NationsGeneral 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 customsterritory;
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;
OBSERVER means a representative of civil societ y, the diamond industry, international organisations
and non-participating governments invited to take part in Plenary meetings;       ( Further consultations
to be undertaken by the Chair.)G/C/W/431
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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 ec onomic 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 terr itory 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;G/C/W/431
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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.G/C/W/431
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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 expo rted 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, thenumber 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 territ ory 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).G/C/W/431
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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.G/C/W/431
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SECTION V
COOPERATION AND TRANSPARENCY
Participants should:
(a) provide to each other through the Chair informa tion 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.G/C/W/431
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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, and any ad hoc  working groups 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, in formation 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.
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.G/C/W/431
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9. An applicants 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 organi zations 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 Voutlining how the requirements of the Certificat ion Scheme are being implemented within their
respective jurisdictions.
12. The agenda of annual Plenary meetings is to in clude an item where information as stipulated in
paragraph (a) of Section V is reviewed and Participants can provide further details of theirrespective 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
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 theChair, 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.G/C/W/431
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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.G/C/W/431
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ANNEX I
CERTIFICATES
A.  Minimum Requirements for Certificates
A Certificate is to meet the following minimum requirements:
• Each Certificate should bear the title “Kimbe rley Process Certificate”, and the following
statement:  “The rough diamonds in this shipment have been handled in accordance with theprovisions 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 AuthorityAuthentication 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.G/C/W/431
Page 18
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 comp lementing 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 identi fy 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 pros pecting and mining companies maintain effective
security standards to ensure that conflict diamonds do not contaminate legitimate production.
Recommendations for Participants with Small-scale Diamond Mining
11. All artisanal 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 mi nimum information: name, address, nationality
and/or residence status and the area of authorised diamond mining activity.G/C/W/431
Page 19
Recommendations for Rough Diamond Buyers, Sellers and Exporters
13. All diamond buyers, sellers, exporters, agents an d courier companies involved in carrying rough
diamonds should be registered and licensed by each Participant’s relevant authorities.
14. Licensing records should contain the followin g 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 informa tion 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 deta ils 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 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 accordancewith 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 deta ils of rough diamond shipments on a computerised
database.G/C/W/431
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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.G/C/W/431
Page 21
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 ofcertificates 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) classifi cations 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 relyin g 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 supportingeffective implementation of the Certification Scheme.
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