2002R2368 — EN — 08.04.2004 — 011.001 — 1
This document is meant purely as a documentation tool and the institutions do not assume any liability for its contents
►B COUNCILREGULATION(EC)No2368/2002
of20December 2002
implementing the Kimberley Process certification scheme for the international trade in rough
diamonds
(OJ L 358, 31.12.2002, p. 28)
Amended by:
Official Journal
No page date
►M1Council Regulation (EC) No 254/2003 of 11 February 2003 L 36 7 12.2.2003
►M2Commission Regulation (EC) No 257/2003 of 11 February 2003 L 36 11 12.2.2003
►M3Commission Regulation (EC) No 418/2003 of 6 March2003 L 64 13 7.3.2003
►M4Commission Regulation (EC) No 762/2003 of 30 April 2003 L 109 10 1.5.2003
►M5Commission Regulation (EC) No 803/2003 of ►C18 May 2003 ◄L 115 53 9.5.2003
►M6Commission Regulation (EC) No 1214/2003 of 7 July 2003 L 169 30 8.7.2003
►M7Commission Regulation (EC) No 1536/2003 of 29 August 2003 L 218 31 30.8.2003
►M8Commission Regulation (EC) No 1768/2003 of 8 October 2003 L 256 9 9.10.2003
►M9Commission Regulation (EC) No 1880/2003 of 24 October 2003 L 275 26 25.10.2003
►M10Commission Regulation (EC) No 2062/2003 of 24 November 2003 L 308 7 25.11.2003
►M11Commission Regulation (EC) No 101/2004 of 21 January 2004 L 15 20 22.1.2004
►M12Commission Regulation (EC) No 657/2004 of 7 April 2004 L 104 62 8.4.2004
Corrected by:
►C1Corrigendum, OJ L 116, 13.5.2003, p. 31 (803/2003)
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COUNCILREGULATION(EC)No2368/2002
of20December 2002
implementing the Kimberley Process certification scheme for the
internationaltradeinroughdiamonds
THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, andin particular Article 133 thereof,
Having regard to the proposal from the Commission,
Whereas:
(1)The sanctions adopted by the United Nations Security Council
against the rebel movements in Sierra Leone and Angola andagainst the Liberian government, prohibiting under certain condi-tions imports of roughdiamonds from Liberia, Angola andSierra Leone have not been able to stop the flow of conflictdiamonds into the legitimate trade or to bring the conflicts to a
halt.
(2)The Göteborg European Council of June 2001 endorsed a
programme for the prevention of violent conflicts, which states,inter alia , that the Member States and the Commission will
tackle the illicit trade in high-value commodities, including by
identifying ways of breaking the link between rough diamonds
and violent conflicts and supporting the Kimberley Process.
(3)Council Regulation (EC) No 303/2002 of 18 February 2002concerning the importation into the Community of roughdiamonds from Sierra Leone (
1) prohibits, under certain condi-
tions, the importation of rough diamonds into the Community.
(4)There is a need to complement the existing measures with effec-tive controls over the international trade in rough diamonds inorder to prevent the trade in conflict diamonds from financingthe efforts of rebel movements and their allies to underminelegitimate governments. Effective control will help maintaininternational peace and security and will also protect the revenue
from exports of rough diamonds, which is essential for the
development of producer countries in Africa.
(5)The Kimberley Process negotiations, bringing together theCommunity and producer and trading countries representingpractically all international trade in roughdiamonds, as well as
the diamond industry and representatives of civil society, were
initiated witha view to developing suchan effective controlsystem. They led to the development of a certification scheme.
(6)All participants accepted the outcome of the negotiations as thebasis for implementing measures within their own jurisdiction.
(7)In its resolution 56/263 the UN General Assembly welcomed the
certification scheme developed in the Kimberley Process and
called on all interested parties to participate in that scheme.
(8)Implementation of the certification scheme requires that theimports and exports of roughdiamonds into or from th e territoryof the Community be made subject to the certification scheme,
including the issue of the relevant certificates by participants in
the scheme.
(9)Each Member State may designate the authority or authoritiesresponsible for the implementation of the relevant provisions ofthis Regulation within its territory and may limit the number ofauthorities.2002R2368 — EN — 08.04.2004 — 011.001 — 2
(1) OJ L 47, 19.2.2002, p. 8.
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(10)The validity of certificates for imported rough diamonds should
be properly verified by the competent authorities of the Commu-
nity.
(11)Compliance with this Regulation should not be construed as
equivalent or as an alternative to compliance withany oth er
requirements under Community legislation.
(12)In order to increase the effectiveness of the certification scheme,circumvention or attempts to circumvent should be prevented.Likewise, providers of ancillary or directly related servicesshould exercise due diligence in establishing that the provisionsof this Regulation are duly applied.
(13)Export certificates for roughdiamonds sh ould only be issued andvalidated where there is conclusive evidence that those diamondshave been imported under a certificate.
(14)Circumstances may justify that the competent authority of theimporting participant should send the competent authority ofthe exporting participant confirmation of import of shipments of
roughdiamonds.
(15)A system of warranties and industry self-regulation of the kind
proposed by the representatives of the rough diamond industry
in the Kimberley Process could facilitate the provision of such
conclusive evidence.
(16)Provisions should be made to allow the export of roughdiamonds imported before the applicability of specific importcontrols provided for by this Regulation.
(17)Each Member State should determine the sanctions applicable inthe event of a breach of this Regulation.
(18)The provisions of this Regulation concerning the import and
export of roughdiamonds sh ould not apply to roughdiamonds
transiting the Community in the course of export to anotherParticipant.
(19)For the purposes of implementing the certification scheme, theCommunity should be a participant in the Kimberley Processcertification scheme. It should be represented by the Commis-sion at meetings of participants in the Kimberley Processcertification scheme.
(20)The measures necessary for the implementation of this Regula-tion should be adopted in accordance with Council Decision
1999/468/EC of 28 June 1999 laying down the procedures for
the exercise of implementing powers conferred on the Commis-sion(
1).
(21)A forum should be created to enable the Commission and theMember States to examine questions concerning the applicationof this Regulation.
(22)This Regulation should enter into force on the day of its publica-tion, but the provisions on import and export control should besuspended until a date has been agreed in the Kimberley Processfor the simultaneous implementation of the import and exportcontrols by all participants,2002R2368 — EN — 08.04.2004 — 011.001 — 3
(1) OJ L 184, 17.7.1999, p. 23.
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HAS ADOPTED THIS REGULATION:
CHAPTER I
SUBJECTMATTERANDDEFINITIONS
Article 1
This Regulation sets up a Community system of certification and
import and export controls for roughdiamonds for th e purposes of
implementing the Kimberley Process certification scheme.
For the purposes of the certification scheme, the Community shall be
considered as one entity without internal borders.
This Regulation does not prejudice or substitute any provisions in force
relating to customs formalities and controls.
Article 2
For the purposes of this Regulation the following definitions shall
apply:
(a) ‘Kimberley Process’ means the forum in which the participants
have designed an international certification scheme for rough
diamonds;
(b) ‘Kimberley Process certification scheme’ (hereinafter ‘KP certifi-
cation scheme’) means the international certification schemenegotiated by the Kimberley Process as set out in Annex I;
(c) ‘Participant’ means any State, regional economic integration orga-
nisation, WTO-member or separate customs territory that fulfilsthe requirements of the KP certification scheme, has notified thatfact to the Chair of the KP certification scheme and is listed inAnnex II;
(d) ‘certificate’ means a document duly issued and validated by a
participant's competent authority identifying a shipment of roughdiamonds as being in compliance with the requirements of theKP certification scheme;
(e) ‘competent authority’ means the authority designated by a partici-
pant to issue, validate or verify certificates;
(f) ‘Community authority’ means a competent authority designated by
a Member State and listed in Annex III;
(g) ‘Community certificate’ means a certificate corresponding to the
specimen in Annex IV and issued by a Community authority;
(h) ‘conflict diamonds’ means rough diamonds as defined under the
KP Certification Scheme;
(i) ‘roughdiamond’ means a diamond th at is unworked or simply
sawn, cleaved or bruted and falls under the HarmonisedCommodity Description and Coding System 7102 10, 7102 21and 7102 31 (hereinafter ‘HS code’);
(j) ‘imports’ means the physical entering or bringing into any part of
the geographical territory of a participant;
(k) ‘export’ means the physical leaving or taking out of any part of
the geographical territory of a participant;
(l) ‘shipment’ means one or more parcels;
(m) ‘parcel’ means one or more diamonds that are packed together;
(n) ‘parcel of mixed origin’ means a parcel that contains rough
diamonds from two or more countries of origin;
(o) ‘Community territory’ means the territories of the Member States
to which the Treaty is applicable, under the conditions laid downin that Treaty;
(p) ‘Certified stock’ means a stock of rough diamonds to which this
Regulation applies, and whose location, volume and value, and2002R2368 — EN — 08.04.2004 — 011.001 — 4
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changes therein, have been submitted to effective supervision of a
Member State;
(q) ‘Customs transit’ means transit as provided for by Articles 91 to
97 of Council Regulation (EEC) No 2913/92 of 12 October 1992
establishing the Community Customs Code (1).
CHAPTER II
IMPORTREGIME
Article 3
The import of rough diamonds into the Community shall be prohibited
unless all of the following conditions are fulfilled:
(a) the rough diamonds are accompanied by a certificate validated by
the competent authority of a participant;
(b) the rough diamonds are contained in tamper-resistant containers,
and the seals applied at export by that participant are not broken;
(c) the certificate clearly identifies the consignment to which it refers.
Article 4
1. Containers and the corresponding certificates shall be submitted
for verification, together and at the earliest opportunity, to a Commu-nity authority either in the Member State where they are imported or inthe Member State for which they are destined, as indicated in accom-
panying documents.
2. In cases where rough diamonds are imported into a Member State
where there is no Community authority, they shall be submitted to theappropriate Community authority in the Member State for which they
are destined. If a Community authority exists neither in the importing
Member State nor in the Member State of destination they shall besubmitted to an appropriate Community authority in another MemberState.
3. The Member State where the rough diamonds are imported shall
ensure their submission to the appropriate Community authorityprovided for in paragraphs 1 and 2. Customs transit may be granted tothat effect. If such customs transit is granted, the verification providedfor by this Article shall be suspended until arrival at the appropriateCommunity authority.
4. The importer shall be responsible for the proper movement of the
rough diamonds and the costs thereof.
5. A Community authority shall opt for either of the following
methods to verify that the content of a container matches the particu-lars on the corresponding certificate:
(a) it will open eachcontainer witha view to suchverification; or
(b) it will identify the containers to be opened with a view to such
verification on the basis of a risk analysis or equivalent system
that gives due consideration to rough diamond shipments.
6. A Community authority shall complete the verification without
delay.
Article 5
1. If a Community authority establishes that the conditions in Article
3 are:
(a) fulfilled, it shall confirm this on the original certificate and provide
the importer with an authenticated and forgery-resistant copy of2002R2368 — EN — 08.04.2004 — 011.001 — 5
(1) OJ L 302, 19.10.1992, p. 1. Regulation as last amended by Regulation (EC)
No 2700/2000 (OJ L 311, 12.12.2000, p. 17).
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that confirmed certificate. This confirmation procedure shall take
place within 10 working days of the submission of the certificate;
(b) not fulfilled, it shall detain the shipment.
2. If a Community authority finds that the failure to fulfil the condi-
tions is not made knowingly or intentionally or is the result of anaction by another authority in the exercise of its proper duties, it mayproceed with the confirmation and release the shipment, after the
necessary remedial measures have been taken to ensure that the condi-
tions are met.
3. A Community authority shall, within one month, inform the
Commission and the competent authority of the participant that
purportedly issued or validated the certificate for the shipment of anyfailure to fulfil the conditions.
Article 6
1. Until the date of applicability of the Articles referred to in Article
29(3), a Member State may certify stocks of rough diamonds that havebeen imported or are present in the Community territory before that
date. After that date, rough diamonds from certified stocks shall be
considered to have fulfilled the conditions laid down in Article 3.
2. In all other cases, a Community authority may issue a confirma-
tion that it considers rough diamonds to have fulfilled the conditions of
Article 3, if it has established that those diamonds were legally presentin the Community at that date and have been so since.
Article 7
Notwithstanding the provisions of Articles 3, 4 and 5, a Community
authority may allow the import of rough diamonds if the importerprovides conclusive evidence that those diamonds were destined for
import into the Community and were exported 5 working days or less
before the date of applicability of the Articles referred to in Article29(3).
In such cases, the Community authority concerned shall issue the
importer with a confirmation of legal import, to the effect that thosediamonds shall be considered to have fulfilled the conditions of Article3.
Article 8
1. The Commission shall consult participants on the practical
arrangements for providing the competent authority of the exporting
participant that has validated a certificate with confirmation of imports
into the Community territory.
2. On the basis of these consultations the Commission shall, in
accordance withth e procedure referred to in Article 22(2), lay down
guidelines for suchconfirmation.
Article 9
The Commission shall provide all Community authorities with authen-
ticated specimens of the participants' certificates, the names and otherrelevant details of the participants issuing and/or validating authorities,authenticated specimens of stamps and signatures attesting that a certi-
ficate has been legally issued or validated and any other relevant
information received in respect of certificates.
Article 10
1. Community authorities shall provide the Commission with a
monthly report on all certificates submitted for verification underArticle 4.
For each certificate this report shall list at least:
(a) the unique certificate number,2002R2368 — EN — 08.04.2004 — 011.001 — 6
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(b) the name of the issuing and validating authorities,
(c) the date of issue and validation,
(d) the date of expiry of validity,
(e) the country of provenance,
(f) the country of origin, where known,
(g) the HS code(s),
(h) the carat weight,
(i) the value,(j) the verifying Community authority,
(k) the date of verification.
The Commission may, in accordance with the procedure referred to in
Article 22(2), determine the format of this report in order to facilitate
monitoring of the certification scheme's working.
2. The Community authority shall keep the originals of certificates
provided for under Article 3(a) submitted for verification for at leastthree years. It shall provide the Commission or persons or bodies desig-nated by the Commission with access to these original certificates in
particular with a view to answering questions raised within the frame-
work of the KP certification scheme.
CHAPTER III
EXPORTREGIME
Article 11
The export from the Community of rough diamonds shall be prohibited
unless bothof th e following conditions are fulfilled:
(a) the rough diamonds are accompanied by a corresponding Commu-
nity certificate issued and validated by a Community authority;
(b) the rough diamonds are contained in tamper-resistant containers
sealed in accordance withArticle 12.
Article 12
1. The Community authority may issue a Community certificate to
an exporter when it has established that:
(a) the exporter has provided conclusive evidence that the rough
diamonds for which a certificate is being requested were lawfullyimported in accordance withth e provisions of Article 3;
(b) the other information requested on the certificate is correct;
(c) the rough diamonds are effectively destined for arrival in the terri-
tory of a participant, and
(d) the rough diamonds are to be transported in a tamper-resistant
container.
2. A Community authority shall not validate a Community certifi-
cate until it has verified that the content of the container matches theparticulars on the corresponding certificate and that the tamper-resistantcontainer containing the rough diamonds has subsequently been sealedon the responsibility of that authority.
3. A Community authority shall opt for either of the following
methods to verify that the content of a container matches the particu-lars thereon on the certificate:
(a) it will verify the content of each container; or
(b) it will identify the containers, the content of which shall be veri-
fied, on the basis of a risk analysis or equivalent system that givesdue consideration to roughdiamond sh ipments.
4. The Community authority shall provide the exporter with an
authenticated forgery-resistant copy of the Community certificate it2002R2368 — EN — 08.04.2004 — 011.001 — 7
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has validated. The exporter shall keep any copy accessible for at least
three years.
5. The Community certificate shall be valid for export for no more
than two months from the date of issue. If the rough diamonds are notexported within this period, the Community certificate shall be returnedto the issuing Community authority.
Article 13
If an exporter is a member of a diamond organisation listed in Annex
V, the Community authority may accept as conclusive evidence of
lawful import into the Community a signed declaration by the exporterto that effect. Such a declaration shall contain at least the informationto be given in an invoice under Article 17(2)(a)(ii).
Article 14
1. If a Community authority establishes that a shipment of rough
diamonds, for which a Community certificate is requested, does notfulfil the conditions of Articles 11, 12, or 13, that authority shall detainthe shipment.
2. If a Community authority finds that the failure to fulfil the condi-
tions is not made knowingly or intentionally or is the result of an
action by another authority in the exercise of its proper duties, it may
release the shipment and proceed with the issuing and validation of aCommunity Certificate, after the necessary remedial measures havebeen taken to ensure that the conditions are met.
3. The Community authority shall, within one month, inform the
Commission and the competent authority of the participant that
purportedly issued or validated the certificate for the shipment of anyfailure to fulfil the conditions.
Article 15
1. Community authorities shall provide the Commission with a
monthly report on all Community certificates issued and validated by
them.
For each certificate this report shall list at least:
(a) the unique certificate number,
(b) the name of the issuing and validating authorities,
(c) the date of issue and validation,
(d) the date of expiry of validity,
(e) the country of provenance,
(f) the country of origin, where known,
(g) the HS code(s),(h) the carat weight and value.
In accordance with the procedure referred to in Article 22(2), the
Commission may determine the format of the report in order to facili-tate monitoring of the certification scheme's working.
2. Community authorities shall keep for at least three years the
authenticated copies provided for under Article 12(4) as well as allinformation received from an exporter to justify the issue and valida-tion of a Community certificate.
They shall provide the Commission or persons or bodies designated by
the Commission with access to those authenticated copies and this
information, in particular witha view to answering questions raisedwithin the framework of the KP certification scheme.
Article 16
1. The Commission shall consult participants on the practical
arrangements for obtaining confirmation of imports of roughdiamonds2002R2368 — EN — 08.04.2004 — 011.001 — 8
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exported from the Community covered by a certificate validated by the
Community authority.
2. On the basis of these consultations the Commission shall, in
accordance withth e procedure referred to in Article 22(2), lay down
guidelines for suchconfirmation.
CHAPTER IV
INDUSTRYSELF-REGULATION
Article 17
1. Organisations representing traders in rough diamonds which have
established a system of warranties and industry self-regulation for thepurposes of implementing the KP Certification Scheme may apply tothe Commission for listing in Annex V directly or through the appro-
priate Community authority.
2. When applying for listing, an organisation shall:
(a) provide conclusive evidence that adopted rules and regulations
whereby its members dealing in rough diamonds, whether natural
or legal persons, undertake that they will, at the latest from the
date of applicability of the Articles referred to in Article 29(3):
(i) sell only diamonds purchased from legitimate sources in
compliance withth e provisions of relevant United NationsSecurity Council Resolutions and of the Kimberley Process
Certification Scheme and guarantee in writing on the invoice
accompanying each sale of rough diamonds that, on the basisof their personal knowledge and/or written warrantiesprovided by the supplier of such rough diamonds, the roughdiamonds sold are therefore not conflict diamonds;
(ii) see that each sale of rough diamonds is accompanied by an
invoice containing the said signed guarantee unequivocallyidentifying the seller and buyer and their registered offices,containing the VAT identification number of the seller,
where applicable, the quantity/weight and qualification of
the goods sold, the value of the transaction and the date ofdelivery;
(iii) not buy roughdiamonds from suspect or unknown sources of
supply and/or roughdiamonds originating in non-participantsin the KP certification scheme;
(iv) not buy roughdiamonds from any source found, after legally
binding due process, to have violated government laws andregulations concerning the trade in conflict diamonds;
(v) not buy rough diamonds in, or from, any region that is the
subject of an advisory notice from a governmental or KP
certification scheme authority to the effect that conflictdiamonds are emanating from, or are available for sale in,that region;
(vi) not knowingly buy, sell or assist others in buying or selling
conflict diamonds;
(vii) ensure that all employees buying or selling rough diamonds
within the diamond trade are fully informed of trade resolu-tions and government regulations restricting the trade inconflict diamonds;
(viii) create and maintain for at least three years records of
invoices received from suppliers and issued to customers;
(ix) instruct an independent auditor to certify that these records
have been created and maintained accurately and either thatit has identified no transactions which failed to comply withthe undertakings referred to in (i) to (viii) or that any transac-tion which failed to comply with such undertakings has beenduly reported to the appropriate Community authority;2002R2368 — EN — 08.04.2004 — 011.001 — 9
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and
(b) provide conclusive evidence that is has adopted rules and regula-
tions which oblige the organisation:
(i) to expel any member found, after a due process inquiry by the
organisation itself, to have seriously violated the abovemen-tioned undertakings; and
(ii) to publicise that member's expulsion and notify the Commis-
sion thereof;
(iii) to make known to all its members all governmental and KP
certification scheme laws, regulations and guidelines regardingconflict diamonds and the names of any natural or legal personfound guilty, after legally binding due process, of violating
these laws and regulations;
and
(c) provide the Commission and the appropriate Community authority
witha complete list of all its members dealing in roughdiamonds,
including full names, addresses, location and other information
which will contribute to avoiding mistaken identities.
3. Organisations covered by this Article shall immediately notify the
Commission and the Community authority of a Member State in which
they are resident or established of all changes in their membership
subsequent to the application for listing.
4. In accordance with the procedure referred to in Article 22(2), the
Commission shall list in Annex V each organisation that fulfils the
requirements of this Article. It shall notify all Community authorities
of the names and other relevant particulars of the members of listedorganisations and any changes therein.
5. (a) A listed organisation or a member thereof shall provide the rele-
vant Community authority with access to any information that
may be needed to assess the proper functioning of the system
of warranties and industry self-regulation. Where circumstancesjustify, that Community authority may require additional guaran-tees that an organisation is able to maintain a credible system.
(b) The appropriate Community authority shall report its assessment
to the Commission on an annual basis.
6. If, in the course of monitoring the proper functioning of the
system, a Community authority in a Member State obtains credibleinformation that a listed organisation covered by this Article and estab-lished or resident in that Member State, or a member thereofestablished or resident in that Member State, is infringing the provi-
sions of this Article, it shall inquire into the matter to verify whether
the provisions of this Article have effectively been infringed.
7. (a) If the Commission has credible information that a listed organi-
sation or a member thereof is infringing the provisions of thisArticle, it shall request an assessment of the situation by the
Community authority of a Member State in which the organisa-
tion or its member is resident or established. Upon such request,the relevant Community authority shall promptly inquire into thematter and duly inform the Commission of its findings.
(b) If the Commission, on the basis of reports, assessments or other
pertinent information, comes to the conclusion that a system ofwarranties and industry self-regulation does not function prop-
erly, and the issue has not been addressed adequately, the
Commission shall take the necessary measures in accordancewithth e procedure referred to in Article 22(2).
8. If an inquiry leads to the conclusion that an organisation is
infringing the provisions of this Article, the Community authority of a
Member State in which that organisation is resident or established willnotify the Commission thereof without delay. In turn, the Commission,in accordance with the procedure referred to in Article 22(2), shall takethe appropriate measures with a view to removing that organisationfrom the list in Annex V.2002R2368 — EN — 08.04.2004 — 011.001 — 10
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9. If a listed organisation or one or more of its members are estab-
lished or resident in a Member State that has not designated aCommunity authority for the purposes of this Article, the Commission
shall be the Community authority for that organisation or those
members.
10. Organisations or their members covered by this Article acting in
the territory of a participant other than the Community shall be consid-
ered to have complied with the provisions of this Article if theycomply with the rules and regulations that this participant has laiddown for the purpose of implementing the Kimberley Process Certifica-tion Scheme.
CHAPTER V
TRANSIT
Article 18
Articles 4, 11, 12, and 14 shall not apply to rough diamonds which
enter the Community territory solely for the purposes of transit to aparticipant other than the Community, on condition that neither theoriginal container in which rough diamonds are being transported northe original accompanying certificate issued by a competent authorityof a participant have been tampered with at entry into and exit from
the Community territory and the transit purpose is clearly attested by
the accompanying certificate.
CHAPTER VI
GENERALPROVISIONS
Article 19
1. Member States may designate one or more authorities in their
territory as Community authority and may attribute different tasks tothem.
2. Member States designating a Community authority shall provide
the Commission with the information showing that their designatedCommunity authorities can reliably, timely, effectively and adequately
fulfil the tasks required by this Regulation.
3. Member States may limit the number of points where the formal-
ities provided for in this Regulation can be completed. They shall
notify the Commission thereof. Based on the information provided
under paragraphs 1 and 2 and in accordance with the procedurereferred to in Article 22(2), the Commission shall maintain in AnnexIII a list of Community authorities, their location and the tasksentrusted to them.
4. Community authorities may ask an economic operator to pay a
fee for the production, issue and/or validation of a certificate and fora physical inspection in accordance with Articles 4 and 14. Under nocircumstances shall the amount of that fee exceed the costs incurred
by that competent authority for the operation concerned. No levies or
similar duties shall be charged in relation to such operations.
5. Member States shall notify the Commission of the option they
choose under Articles 4(5) and 12(3) or of subsequent changes.
6. The Commission may amend the specifications of the Community
certificate witha view to improving its security, processing and func-tionality for the purposes of the KP certification scheme.
Article 20
On the basis of relevant Information provided to the Chair of the KP
certification scheme and/or by participants, the Commission mayamend the list of participants and their competent authorities.2002R2368 — EN — 08.04.2004 — 011.001 — 11
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Article 21
1. The Community shall be a participant in the Kimberley Process
certification scheme.
2. The Commission, which represents the Community in the
Kimberley Process certification scheme, shall aim to ensure optimalimplementation of the KP certification scheme, in particular through
cooperation with participants. To this end, the Commission shall, in
particular, exchange information with participants on international tradein roughdiamonds and, wh ere appropriate, cooperate in monitoringactivities and in the settlement of any disputes that may arise.
Article 22
1. In the performance of its duties under Articles 8, 10, 15, 16, 17
and 19, the Commission shall be assisted by a Committee (hereinafterreferred to as ‘the Committee’).
2. Where reference is made to this paragraph, Articles 4 and 7 of
Decision 1999/468/EC shall apply.
The period laid down in Article 4(3) of Decision 1999/468/EC shall be
set at ten working days.
3. The Committee shall establish its rules of procedure.
Article 23
The Committee referred to in Article 22 may examine any question
concerning the application of this Regulation. Such questions may be
raised either by the chairman or by a representative of a Member State.
Article 24
1. Any natural or legal person providing services directly or indir-
ectly related to the activities covered by Articles 3, 4, 6, 7, 11, 12,
13, 17 or 18 shall exercise due diligence for establishing that the activ-
ities for which it provides services comply with the provisions of thisRegulation.
2. The participation, knowingly and intentionally, in activities, the
object or effect of which is, directly or indirectly, to circumvent theprovisions of this Regulation shall be prohibited.
3. The Commission shall be notified of any information suggesting
that the provisions of this Regulation are being, or have been, circum-vented.
Article 25
Information supplied in accordance with this Regulation shall be used
only for the purposes for which it was provided.
Information which is by nature confidential or which is provided on a
confidential basis shall be covered by the obligation of professionalsecrecy. It shall not be disclosed by the Commission without theexpress permission of the person providing it.
Communication of such information shall however be permitted where
the Commission is obliged or authorised to do so, in particular in
connection withlegal proceedings. Suchcommunication must takeinto account the legitimate interests of the person concerned that hisor her business secrets should not be divulged.
This Article shall not preclude the disclosure of general information by
the Commission. Such disclosure shall not be permitted if this isincompatible withth e original purpose of suchinformation.
In the event of a breach of confidentiality, the originator of the infor-
mation shall be entitled to obtain that it be deleted, disregarded orrectified, as the case may be.2002R2368 — EN — 08.04.2004 — 011.001 — 12
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Article 26
Compliance with this Regulation does not discharge any natural or
legal person from compliance, fully or partially, withany oth er obliga-
tion under other Community or national legislation.
Article 27
Each Member State shall determine the sanctions to be imposed where
the provisions of this Regulation are infringed. Such sanctions shall be
effective, proportionate and dissuasive and shall be capable ofpreventing those responsible for the infringement from obtaining anyeconomic benefit from their action.
Pending the adoption, where necessary, of any legislation to this end,
the sanctions to be imposed where the provisions of this Regulationare infringed shall, where relevant, be those determined by the Member
States in order to give effect to Article 5 of Regulation (EC) No 303/
2002.
Article 28
This Regulation shall apply:
(a) within the Community territory, including its airspace, or on board
any aircraft or any vessel under the jurisdiction of a Member State;
(b) to any national of a Member State, and to any legal person, entity,
or body which is incorporated or constituted under the law of a
Member State.
Article 29
1. This Regulation shall enter into force on the day of its publication
in theOfficial Journal of the European Communities .
2. The Commission shall report annually or at any other time as
necessary to the Council on the implementation of this Regulation andthe need for a review or repeal of the Regulation.
3. Articles 3, 4, 5, 10, 11, 12, 13, 14, 15 and 18 shall apply from 1
February 2003.
This Regulation shall be binding in its entirety and directly applicable
in all Member States.2002R2368 — EN — 08.04.2004 — 011.001 — 13
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ANNEX I
KIMBERLEYPROCESSCERTIFICATION
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 over-
throwing 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, espe-
cially developing states;
— RECALLING all of the relevant resolutions of the United Nations Security
Council under Chapter VII of the United Nations Charter, including the rele-
vant 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 certifica-
tion 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
concerned 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 certifica-
tion 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 prac-
tices and meeting internationally agreed minimum standards, will be the
most effective system by which the problem of conflict diamonds could be
addressed;
— 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-regulation initiatives announced by the
diamond industry and recognising that a system of such voluntary self-regu-
lation 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 scheme for rough
diamonds will only be credible if all Participants have established internal
systems of control designed to eliminate the presence of conflict diamonds2002R2368 — EN — 08.04.2004 — 011.001 — 14
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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 practices as well as differences in institutional controls
thereof may require different approaches to meet minimum standards;
— FURTHER RECOGNISING that the international certification scheme for
roughdiamonds must be consistent withinternational law governing interna-
tional 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:
SECTIONI
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 roughdiamonds 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 they remain in effect, or in other similar UNSC resolutions which
may be adopted in the future, and as understood and recognised in United
Nations General 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 ship-
ment of roughdiamonds 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 customs territory;
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 society, the diamond industry,
international organisations and non-participating governments invited to take
part in Plenary meetings;
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 economic integration organisation
for which the Certification Scheme is effective;
REGIONAL ECONOMIC INTEGRATION ORGANISATION means an organi-
sation 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 Descrip-
tion and Coding System 71021000, 71022100 and 71023100;
SHIPMENT means one or more parcels that are physically imported or
exported;2002R2368 — EN — 08.04.2004 — 011.001 — 15
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TRANSIT means the physical passage across the territory 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 begin-
ning and terminating beyond the frontier of the Participant or non-Participant
across whose territory a shipment passes;
SECTIONII
TheKimberley ProcessCertificate
Each Participant should ensure that:
(a) a Kimberley Process Certificate (hereafter referred to as the Certificate)
accompanies eachsh ipment of roughdiamonds 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 Certi-
ficate as specified in Annex I, for purposes of validation.
SECTIONIII
Undertakingsinrespectoftheinternationaltradeinroughdiamonds
EachParticipant sh ould:
(a) withregard to sh ipments of roughdiamonds exported to a Participant,
require that each such shipment is accompanied by a duly validated Certifi-
cate;
(b) withregard to sh ipments of roughdiamonds 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, the number 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 territory 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).
SECTIONIV
Internalcontrols
Undertakings by Participants
EachParticipant sh ould:
(a) establisha system of internal controls designed to eliminate th e 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 propor-
tional 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.2002R2368 — EN — 08.04.2004 — 011.001 — 16
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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 indivi-
dual companies and supported by internal penalties set by industry, which will
help to facilitate the full traceability of rough diamond transactions by govern-
ment authorities.
SECTIONV
Cooperationandtransparency
Participants should:
(a) provide to each other through the Chair information identifying their desig-
nated authorities or bodies responsible for implementing the provisions of
this Certification Scheme. Each Participant should provide to other Partici-
pants 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 withth e 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 Partici-
pant;
(f) cooperate with other Participants to attempt to resolve problems which may
arise from unintentional circumstances and which could lead to non-fulfil-
ment 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 cooperation between
law enforcement agencies and between customs agencies of Participants.
SECTIONVI
Administrativematters
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 effec-
tiveness 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, ad hoc working groups and other subsidiary
bodies, 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.2002R2368 — EN — 08.04.2004 — 011.001 — 17
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7. Administrative support could include the following functions:
(a) to serve as a channel of communication, information sharing and
consultation between the Participants with regard to matters providedfor in this Document;
(b) to maintain and make available for the use of all Participants a collec-
tion 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 suchadditional responsibilities as th e 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-discrimi-
natory basis to all Applicants willing and able to fulfill the requirements of
that Scheme.
9. Any applicant 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 organisations 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 V outlining how the requirements
of the Certification Scheme are being implemented within their respective
jurisdictions.
12. The agenda of annual Plenary meetings is to include an item where infor-
mation as stipulated in paragraph(a) of Section V is reviewed and
Participants can provide further details of their respective 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 verifi-
cation measures to be undertaken. Suchmeasures are to be implemented in
accordance withapplicable national and international law. Th ese could
include, but need not be limited to measures suchas:
(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, composi-
tion, 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 the Chair, who is to inform all Partici-
pants 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.2002R2368 — EN — 08.04.2004 — 011.001 — 18
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MODIFICATIONS
17. This document may be modified by consensus of the Participants.
18. Modifications may be proposed by any Participant. Suchproposals sh ould
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 peri-
odic review, to allow Participants to conduct a thorough analysis of all
elements contained in the scheme. The review should also include consid-
eration of the continuing requirement for such a scheme, in view of the
perception of the Participants, and of international organisations, in parti-
cular 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 2002.2002R2368 — EN — 08.04.2004 — 011.001 — 19
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Annex I to ANNEX I
CERTIFICATES
A.MinimumrequirementsforCertificates
A Certificate is to meet the following minimum requirements:
— Each Certificate should bear the title ‘Kimberley Process Certificate’ and the
following statement: ‘The rough diamonds in this shipment have been
handled in accordance with the provisions of the Kimberley Process Certifi-
cation 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 transla-
tion 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$— Number of parcels in shipment— Relevant Harmonised Commodity Description and Coding System— Validation of Certificate by the Exporting Authority
B.OptionalCertificate Elements
A Certificate may include the following optional features:
— Characteristics of a Certificate (for example as to form, additional data or
security elements)
— Quality characteristics of the rough diamonds in the shipment— A recommended import confirmation part should have the following
elements:
Country of destination
Identification of importer
Carat/weight and value in US$
Relevant Harmonised Commodity Description and Coding SystemDate of receipt by Importing AuthorityAuthentication by Importing Authority
C.OptionalProcedures
Roughdiamonds may be sh ipped in transparent security bags.The unique Certificate number may be replicated on the container.2002R2368 — EN — 08.04.2004 — 011.001 — 20
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Annex II to ANNEX I
RECOMMENDATIONS AS PROVIDED FOR IN SECTION IV, PARA-
GRAPH(F)
General Recommendations
1. Participants may appoint an official coordinator(s) to deal withth e imple-
mentation of the Certification Scheme.
2. Participants may consider the utility of complementing 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 identify 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 Certifica-tion 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 verifi-
able documentation.
8. Participants that produce diamonds should analyse their diamond production
under the following headings:
— Characteristics of diamonds produced
— Actual production
RecommendationsforControloverDiamondMines
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 prospecting and mining compa-
nies maintain effective security standards to ensure that conflict diamonds
do not contaminate legitimate production.
RecommendationsforParticipantswithSmall-scaleDiamondMining
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 minimum information:
name, address, nationality and/or residence status and the area of authorised
diamond mining activity.
RecommendationsforRoughDiamondBuyers,SellersandExporters
13. All diamond buyers, sellers, exporters, agents and courier companies
involved in carrying roughdiamonds sh ould be registered and licensed by
eachParticipant's relevant auth orities.
14. Licensing records should contain the following minimum information:
name, address and nationality and/or residence status.
15. All roughdiamond buyers, sellers and exporters sh ould 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 compu-
terised database, to facilitate the presentation of detailed information
relating to the activities of individual rough diamond buyers and sellers.
RecommendationsforExportProcesses
17. A exporter should submit a rough diamond shipment to the relevant
Exporting Authority.2002R2368 — EN — 08.04.2004 — 011.001 — 21
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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 details of rough diamond ship-
ments on a computerised database.
RecommendationsforImportProcesses
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 accordance with the Certification Scheme.
23. The Importing Authority should open and inspect the contents of the ship-
ment 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 details of rough diamond ship-
ments on a computerised database.
RecommendationsonShipmentstoandfromFree TradeZones
26. Shipments of rough diamonds to and from free trade zones should be
processed by the designated authorities.2002R2368 — EN — 08.04.2004 — 011.001 — 22
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Annex III to ANNEX I
STATISTICS
Recognising that reliable and comparable data on the production and the inter-
national trade in roughdiamonds are an essential tool for th e 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 princi-
ples, 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 stan-
dardised format, quarterly aggregate statistics on roughdiamond exports and
imports, as well as the numbers of certificates validated for export, and of
imported shipments accompanied by Certificates;
(b) to keep and publishstatistics on exports and imports, by origin and prove-
nance wherever possible; by carat weight and value; and under the relevant
Harmonised Commodity Description and Coding System (HS) classifica-
tions 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 roughdiamond production by carat weigh t
and by value. In the event that a Participant is unable to publish these statis-
tics it should notify the Chair immediately;
(d) to collect and publish these statistics by relying 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, individu-
ally or collectively, according to suchterms of reference as may be
established by the Participants;
(f) to consider statistical information pertaining to the international trade in and
production of roughdiamonds at annual Plenary meetings, witha view to
addressing related issues, and to supporting effective implementation of the
Certification Scheme.2002R2368 — EN — 08.04.2004 — 011.001 — 23
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ANNEX II
ListofparticipantsintheKimberleyProcesscertification schemeandtheir
dulyappointedcompetentauthoritiesasreferredtoinArticles2,3,8,9,12,
17,18,19and20
ANGOLA
Ministry of Geology and Mines
Rua Hochi Min
LuandaAngola
ARMENIA
Department of Gemstones and Jewellery
Ministry of Trade and Economic DevelopmentYerevanArmenia
AUSTRALIA
— Community Protection Section
Australian Customs Section
Customs House, 5 Constitution Avenue
Canberra ACT 2601Australia
— Minerals Development Section
Department of Industry, Tourism and ResourcesGPO Box 9839Canberra ACT 2601
Australia
BELARUS
Department of Finance
Sovetskaja Str., 7220010 MinskRepublic of Belarus
BOTSWANA
Ministry of Minerals, Energy and Water Resources
PI Bag 0018Gaborone
Botswana
BRAZIL
Ministry of Mines and Energy
Esplanada dos Ministérios - Bloco ‘U’ – 3º andar
70065-900 Brasilia-DFBrazil
BULGARIA
Ministry of Economy
Multilateral Trade and Economic Policy and Regional Cooperation Directorate12, Al. Batenberg str.1000 Sofia
Bulgaria
CANADA
—International:
Department of Foreign Affairs and International Trade
Peace Building and Human Security DivisionLester B Pearson Tower B — Room: B4-120125 Sussex Drive Ottawa, Ontario K1A 0G2Canada2002R2368 — EN — 08.04.2004 — 011.001 — 24
▼M12
—For specimen of the Canadian KP Certificate:
Stewardship Division
International and Domestic Market Policy Division
Mineral and Metal Policy Branch
Minerals and Metals SectorNatural Resources Canada
580 BoothStreet, 10thfloor, Room: 10A6
Ottawa, Ontario CanadaK1A 0E4
—General Enquiries:
Kimberley Process Office
Minerals and Metals Sector (MMS)
Natural Resources Canada (NRCan)
10thFloor, Area A -7580 BoothStreet
Ottawa, Ontario Canada
K1A 0E4
CENTRAL AFRICAN REPUBLIC
Independent Diamond Valuators (IDV)
Immeuble SOCIM, 2
eétage
BP 1613 Bangui
Central African Republic
CHINA, People's Republic of
Department of Inspection and Quarantine Clearance
General Administration of Quality Supervision, Inspection and Quarantine
(AQSIQ)
9 MadiandongluHaidian District, Beijing
People's Republic of China
HONG KONG, Special Administrative Region of the People's Republic of
China
Department of Trade and Industry
Hong Kong Special Administrative Region
People's Republic of China
Room 703, Trade and Industry Tower700 Nathan Road
Kowloon
Hong KongChina
CONGO, Democratic Republic of
Centre d'évaluation, d'expertise et de certification (CEEC)
17
thfloor, BCDC Tower
30thJune Avenue
KinshasaDemocratic Republic of Congo
CONGO, Republic of
Directorate General of Mines and Geology
BrazzavilleRepublic of Congo
CÔTE D'IVOIRE
Ministry of Mines and Energy
BP V 91
Abidjan
Côte d'Ivoire
CROATIA
Ministry of Economy
Zagreb
Republic of Croatia2002R2368 — EN — 08.04.2004 — 011.001 — 25
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CZECH REPUBLIC
Ministry of Finance
Letenska 15
Prague 1CzechRepublic
EUROPEAN COMMUNITY
European Commission
DG External Relations A/2B-1049 Brussels
GHANA
Precious Minerals Marketing Company (Ltd)
Diamond HouseKinbu Road
PO Box M. 108
AccraGhana
GUINEA
Ministry of Mines and Geology
BP 2696Conakry
Guinea
GUYANA
Geology and Mines Commission
P O Box 1028
Upper Brickdam
Stabroek
Georgetown
Guyana
HUNGARY
Licensing and Administration Office of the Ministry of Economy and Transport
Margit krt. 85
1024 BudapestHungary
INDIA
The Gem & Jewellery Export Promotion Council
Diamond Plaza, 5
thFloor 391-A, Fr D.B. Marg
Mumbai 400 004
India
ISRAEL
Ministry of Industry and Trade
P.O. Box 3007
52130 Ramat Gan
Israel
JAPAN
— United Nations Policy Division
Foreign Policy Bureau
Ministry of Foreign Affairs2-11-1, Shibakoen Minato-ku
105-8519 Tokyo
Japan
— Mineral and Natural Resources Division
Agency for Natural Resources and Energy
Ministry of Economy, Trade and Industry
1-3-1 Kasumigaseki, Chiyoda-ku100-8901 Tokyo
Japan2002R2368 — EN — 08.04.2004 — 011.001 — 26
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KOREA, Republic of
— UN Division
Ministry of Foreign Affairs and Trade
Government Complex Building77 Sejong-ro, Jongro-gu
Seoul
Korea
— Trade Policy Division
Ministry of Commerce, Industry and Enterprise
1 Joongang-dong, Kwacheon-City
Kyunggi-doKorea
LAOS, People's Democratic Republic
Department of Foreign Trade
Ministry of CommerceVientiane
Laos
LESOTHO
Commission of Mines and Geology
PO Box 750
Maseru 100
Lesotho
MALAYSIA
Ministry of International Trade and Industry
Blok 10
Komplek Kerajaan Jalan Duta50622 Kuala Lumpur
Malaysia
MAURITIUS
Ministry of Commerce and Co-operatives
Import Division
2nd Floor, Anglo-Mauritius House
Intendance StreetPort Louis
Mauritius
NAMIBIA
Diamond Commission
Ministry of Mines and Energy
Private Bag 13297
Windhoek
Namibia
POLAND
Ministry of Economy, Labour and Social Policy
Plac TrzechKrzyzy 3/5
00-507 Warsaw
Poland
ROMANIA
National Authority for Consumer Protection
Strada Georges Clemenceau Nr. 5, sectorul 1
BucharestRomania
RUSSIAN FEDERATION
Gokhran of Russia
14, 1812 Goda St.121170 Moscow
Russia2002R2368 — EN — 08.04.2004 — 011.001 — 27
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SIERRA LEONE
Ministry of Minerals Resources
Youyi Building
Brookfields
Freetown
Sierra Leone
SINGAPORE
Ministry of Trade and Industry
100 HighStreet
#0901, The Treasury
Singapore 179434
SLOVENIA
Ministry of Finance
Customs Office Ljubljana
BranchAirport Brnik
Zgornji Brnik 130 D
4210 Brnik Aerodrom
Republic of Slovenia
SOUTH AFRICA
SouthAfrican Diamond Board
240 Commissioner Street
Johannesburg
SouthAfrica
SRI LANKA
Trade Information Service
Sri Lanka Export Development Board
42 Nawam Mawatha
Colombo 2
Sri Lanka
SWITZERLAND
State Secretariat for Economic Affairs
Export Control Policy and Sanctions
Effingerstrasse 1
3003 Berne
Switzerland
TAIWAN, PENGHU, KINMEN AND MATSU, Separate Customs Territory
Import and Export office
Licensing and Administration
Board of Foreign Trade
Taiwan
TANZANIA
Commission for Minerals
Ministry of Energy and Minerals
PO Box 2000
Dar es Salam
Tanzania
THAILAND
Ministry of Commerce
Department of Foreign Trade
44/100 Thanon Sanam Bin Nam-Nonthaburi
Muang District
Nonthaburi 11000Thailand
TOGO
Directorate General — Mines and Geology
BP 356
216, Avenue Sarakawa
Lomé
Togo2002R2368 — EN — 08.04.2004 — 011.001 — 28
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UKRAINE
— Ministry of Finance
State Gemological Center
Degtyarivska St. 38-44
Kiev 04119
Ukraine
— International Department
Diamond Factory ‘Kristall’
600 Letiya Street 21
21100 Vinnitsa
Ukraine
UNITED ARAB EMIRATES
Dubai Metals and Commodities Centre
PO Box 63
Dubai
United Arab Emirates
UNITED STATES OF AMERICA
U.S. Department of State
2201 C St., N.W.
Washington D.C.
United States of America
VENEZUELA
Ministry of Energy and Mines
Apartado Postal no61536 Chacao
Caracas 1006
Av. Libertadores, Edif. PDVSA, Pent House B
La Campina — Caracas
Venezuela
VIETNAM
Export-Import Management Department
Ministry of Trade of Vietnam
31 Trang Tien
Hanoi 10 000
Vietnam
ZIMBABWE
Principal Minerals Development Office
Ministry of Mines and Mining Development
Private Bag 7709, CausewayHarare
Zimbabwe2002R2368 — EN — 08.04.2004 — 011.001 — 29
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ANNEX III
ListofMemberStates'competentauthoritiesandtheirtasksasreferred to
inArticles2and19
1. the Government Diamond Office (GDO) within the United Nations Depart-
ment of the Foreign and Commonwealth Office,
King Charles Street,
London SW1A 2AHUnited Kingdom
Tel. (44-20) 70 08 69 02
Fax (44-20) 70 08 39 05
e-mail: clive.wright@fco.gov.uk
2. Federale Overheidsdienst Economie, KMO, Middenstand en Energie, Dienst
Vergunningen/Service Public Fédéral Economie, PME, Classes moyennes et
Energie, Service Licence,
Italiëlei 124, bus 71
B-2000 Antwerpen
tel. (32-3) 206 94 70
fax (32-3) 206 94 90
e-mail: Diamond@mineco.fgov.be
In Belgium the controls of imports and exports of rough diamonds required
by Regulation (EC) No 2368/2002 and the customs treatment will only be
done at:
The Diamond Office,
Hovenierstraat 22
B-2018 Antwerpen2002R2368 — EN — 08.04.2004 — 011.001 — 30
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ANNEX IV
Communitycertificate asreferred toinArticle2
The Community certificate referred to in Article 2 shall have the following
features. Member States shall ensure that the Certificates they issue shall be
identical. To this end they shall submit to the Commission specimens of the
Certificates to be issued.
Member States shall be responsible for having the EC Certificates printed. The
EC Certificates may be printed by printers appointed by the Member State in
which they are established. In the latter case, reference to the appointment by
the Member State must appear on each EC Certificate. Each EC Certificate shallbear an indication of the printer's name and address or a mark enabling the
printer to be identified. The printer should be a High Security Banknote Printer.
The printer should provide suitable references from governmental and commer-
cial customers.
The European Commission shall make specimens of original EC Certificates
available to EC authorities.
Materials
— Dimensions: A4 (210 mm x 297 mm);
— Watermarked withinvisible (yellow/red) UV fibres;
— Solvent sensitive;
— UV dull (features in the document stand out clearly when highlighted under
a Ultra-violet lamp);
— 95 g/m² paper.
Printing
►
M2— Rainbow background tint (solvent sensitive); ◄
— The ‘rainbow’ effect has a security background that will not visualise
when photocopied.
— The inks used must be ‘solvent sensitive’ to protect the document against
attack from chemicals used to alter infilled text, such as bleach.
— 1 Colour background tint (permanent and light fast);
— Ensure that a secondary ‘Rainbow’ is printed to prevent the Certificates
from exposure to sunlight.
— UV invisible working (stars of the EU Flag);
— The security printer should apply the correct weight of ink to ensure that
the UV feature is invisible in normal light.
— EU Flag: Printed gold and European blue;
— Intaglio Border;
— Tactile Intaglio ink is one of the most important features in the docu-
ment.
— Extra Small Print line reading ‘Kimberley Process Certificate’;— Latent image: KP;—►
M2Micro-text reading ‘KPCS’; ◄
— The document design must incorporate anticopy (‘Medallion’) features into
the background fine-line printing.
Numbering
— Each EC Certificate shall have a unique serial number, preceded by the
code: EC.
— The Commission shall attribute the serial numbers to the Member States that
intend to issue EC Certificates.
— There should be two types of matching numbering — visible and invisible:
— First = ►M28 digit◄sequential, once on all parts of the document,
printed black (fluorescing to green under UV light)
— The printer should hold all responsibility for numbering every Certifi-
cate.
— The printer should also keep a database of all numbering.— Right hand and left hand number to be aligned horizontally.2002R2368 — EN — 08.04.2004 — 011.001 — 31
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— Second = ►M28 digit◄sequential invisible printed numbering (matching
above) to fluorescent red under UV light (aligned vertically with top visible
numbers).
Language
English and, where relevant, the language(s) of the Member State concerned.
Lay out and finishing
Obligatory features
Slot perforated in 1 position, cut to singles A4 size, at 100 mm from right edge
(a) left side:
2002R2368 — EN — 08.04.2004 — 011.001 — 32
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(b) right side:
2002R2368 — EN — 08.04.2004 — 011.001 — 33
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ANNEX V
List of diamond organisations implementing the system of warranties and
industryself-regulationreferred toinArticles 13and17
Antwerpsche Diamantkring CV
Hoveniersstraat 2 bus 515
B-2018 Antwerpen
Beurs voor Diamanthandel CV
Pelikaanstraat 78
B-2018 Antwerpen
Diamantclub van Antwerpen CV
Pelikaanstraat 62
B-2018 Antwerpen
Vrije Diamanthandel NV
Pelikaanstraat 62
B-2018 Antwerpen
The London Diamond Bourse and Club
100 Hatton Garden
London EC1N 8NX
United Kingdom2002R2368 — EN — 08.04.2004 — 011.001 — 34
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