2002R2368 — EN — 07.11.2003 — 009.001 — 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 March 2003 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
Corrected by:
►C1Corrigendum, OJ L 116, 13.5.2003, p. 31 (803/2003)
▼B
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-tionsimportsof rough diamondsfrom Liberia, Angola andSierra Leone have not been able to stop the flow of conflictdiamondsinto the legitimate trade or to bring the conflictsto 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 waysof 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 roughdiamondsfrom 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 controlsover the international trade in rough diamondsinorder to prevent the trade in conflict diamondsfrom financingthe effortsof rebel movementsand their alliesto 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 countriesin Africa.
(5)The Kimberley Process negotiations, bringing together theCommunity and producer and trading countriesrepres entingpractically all international trade in rough diamonds, as well as
the diamond industry and representatives of civil society, were
initiated with a view to developing such an effective controlsystem. They led to the development of a certification scheme.
(6)All participantsaccepted the outcome of the negotiationsasthebasis 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 theimportsand exportsof rough diamondsinto or from the 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 ofthisRegulation within itsterritory and may limit the number ofauthorities.2002R2368 — EN — 07.11.2003 — 009.001 — 2
(1) OJ L 47, 19.2.2002, p. 8.
▼B
(10)The validity of certificatesfor imported rough diamondss hould
be properly verified by the competent authoritiesof the Commu-
nity.
(11)Compliance with this Regulation should not be construed as
equivalent or asan alternative to compliance with any other
requirementsunder Community legis lation.
(12)In order to increase the effectiveness of the certification scheme,circumvention or attemptsto circumvent s hould be prevented.Likewise, providers of ancillary or directly related servicesshould exercise due diligence in establishing that the provisionsof thisRegulation are duly applied.
(13)Export certificates for rough diamonds should 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
rough diamonds.
(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 roughdiamondsimported before the applicability of s pecific importcontrolsprovided for by thisRegulation.
(17)Each Member State should determine the sanctions applicable inthe event of a breach of thisRegulation.
(18)The provisions of this Regulation concerning the import and
export of rough diamondss hould not apply to rough diamonds
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 proceduresfor
the exercise of implementing powers conferred on the Commis-sion (
1).
(21)A forum should be created to enable the Commission and theMember Statesto examine ques tionsconcerning the applicationof thisRegulation.
(22)ThisRegulation s hould enter into force on the day of itspublica-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 exportcontrolsby all participants ,2002R2368 — EN — 07.11.2003 — 009.001 — 3
(1) OJ L 184, 17.7.1999, p. 23.
▼B
HAS ADOPTED THIS REGULATION:
CHAPTER I
SUBJECTMATTERANDDEFINITIONS
Article 1
This Regulation sets up a Community system of certification and
import and export controlsfor rough diamondsfor the purpos esof
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’ meansany State, regional economic integration orga-
nisation, WTO-member or separate customs territory that fulfilsthe requirementsof the KP certification s cheme, hasnotified 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'scompetent authority identifying a s hipment of roughdiamondsasbeing in compliance with the requirementsof theKP certification scheme;
(e) ‘competent authority’ meansthe authority des ignated by a partici-
pant to issue, validate or verify certificates;
(f) ‘Community authority’ meansa competent authority des ignated by
a Member State and listed in Annex III;
(g) ‘Community certificate’ meansa certificate corres ponding 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) ‘rough diamond’ meansa diamond that isunworked or s imply
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’ meansthe phys ical leaving or taking out of any part of
the geographical territory of a participant;
(l) ‘shipment’ means one or more parcels;
(m) ‘parcel’ meansone or more diamondsthat are packed together;
(n) ‘parcel of mixed origin’ meansa parcel that containsrough
diamondsfrom two or more countriesof origin;
(o) ‘Community territory’ meansthe territoriesof the Member States
to which the Treaty isapplicable, under the conditionslaid 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 — 07.11.2003 — 009.001 — 4
▼M1
▼B
▼B
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 diamondsinto the Community s hall be prohibited
unless all of the following conditions are fulfilled:
(a) the rough diamondsare 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 diamondsare imported s hall
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 diamondsand the cos tsthereof.
5. A Community authority shall opt for either of the following
methodsto verify that the content of a container matchesthe particu-larson the corres ponding certificate:
(a) it will open each container with a view to such verification; or
(b) it will identify the containersto be opened with a view to s uch
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 — 07.11.2003 — 009.001 — 5
(1) OJ L 302, 19.10.1992, p. 1. Regulation aslas t amended by Regulation (EC)
No 2700/2000 (OJ L 311, 12.12.2000, p. 17).
▼B
that confirmed certificate. Thisconfirmation procedure s hall 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 findsthat the failure to fulfil the condi-
tionsisnot made knowingly or intentionally or isthe res ult 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-
tionsare 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 Articlesreferred 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 cons idersrough diamondsto have fulfilled the conditionsof
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 diamondsif the importerprovides conclusive evidence that those diamonds were destined for
import into the Community and were exported 5 working daysor les s
before the date of applicability of the Articlesreferred 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
arrangementsfor providing the competent authority of the exporting
participant that hasvalidated a certificate with confirmation of imports
into the Community territory.
2. On the basis of these consultations the Commission shall, in
accordance with the procedure referred to in Article 22(2), lay down
guidelinesfor s uch confirmation.
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 certificatess ubmitted for verification underArticle 4.
For each certificate this report shall list at least:
(a) the unique certificate number,2002R2368 — EN — 07.11.2003 — 009.001 — 6
▼B
(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 thisreport 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 diamondss hall be prohibited
unless both of the following conditions are fulfilled:
(a) the rough diamondsare accompanied by a corres ponding Commu-
nity certificate issued and validated by a Community authority;
(b) the rough diamonds are contained in tamper-resistant containers
sealed in accordance with Article 12.
Article 12
1. The Community authority may issue a Community certificate to
an exporter when it has established that:
(a) the exporter hasprovided conclus ive evidence that the rough
diamondsfor which a certificate isbeing reques ted were lawfullyimported in accordance with the provisions of Article 3;
(b) the other information requested on the certificate is correct;
(c) the rough diamondsare effectively des tined 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 hasverified that the content of the container matchestheparticulars 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
methodsto verify that the content of a container matchesthe particu-larsthereon 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 rough diamond shipments.
4. The Community authority shall provide the exporter with an
authenticated forgery-resistant copy of the Community certificate it2002R2368 — EN — 07.11.2003 — 009.001 — 7
▼B
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 thisperiod, the Community certificate s hall 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 asconclus ive 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 conditionsof Articles11, 12, or 13, that authority s hall detainthe shipment.
2. If a Community authority findsthat the failure to fulfil the condi-
tionsisnot made knowingly or intentionally or isthe res ult 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 copiesprovided for under Article 12(4) aswell asallinformation 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 with a view to answering questions raisedwithin the framework of the KP certification scheme.
Article 16
1. The Commission shall consult participants on the practical
arrangementsfor obtaining confirmation of importsof rough diamonds2002R2368 — EN — 07.11.2003 — 009.001 — 8
▼B
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 with the procedure referred to in Article 22(2), lay downguidelinesfor s uch confirmation.
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 itsmembersdealing in rough diamonds , whether naturalor legal persons, undertake that they will, at the latest from thedate of applicability of the Articlesreferred to in Article 29(3):
(i) sell only diamonds purchased from legitimate sources in
compliance with the provisions of relevant United Nations
Security Council Resolutions and of the Kimberley ProcessCertification Scheme and guarantee in writing on the invoiceaccompanying each sale of rough diamonds that, on the basisof their personal knowledge and/or written warranties
provided by the supplier of such rough diamonds, the rough
diamonds sold are therefore not conflict diamonds;
(ii) see that each sale of rough diamonds is accompanied by an
invoice containing the said signed guarantee unequivocally
identifying the seller and buyer and their registered offices,
containing the VAT identification number of the seller,where applicable, the quantity/weight and qualification ofthe goods sold, the value of the transaction and the date ofdelivery;
(iii) not buy rough diamonds from suspect or unknown sources of
supply and/or rough diamonds originating in non-participantsin the KP certification scheme;
(iv) not buy rough diamondsfrom any s ource found, after legally
binding due process, to have violated government laws and
regulationsconcerning the trade in conflict diamonds ;
(v) not buy rough diamondsin, or from, any region that isthe
subject of an advisory notice from a governmental or KP
certification scheme authority to the effect that conflict
diamondsare emanating from, or are available for s ale 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-tionsand government regulationsres tricting 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 hasidentified no trans actionswhich failed to comply withthe undertakingsreferred to in (i) to (viii) or that any trans ac-tion which failed to comply with such undertakings has beenduly reported to the appropriate Community authority;
and2002R2368 — EN — 07.11.2003 — 009.001 — 9
▼B
(b) provide conclusive evidence that is has adopted rules and regula-
tionswhich oblige the organis ation:
(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 itsmembersall governmental and KP
certification scheme laws, regulations and guidelines regarding
conflict diamondsand the namesof any natural or legal pers onfound guilty, after legally binding due process, of violatingthese laws and regulations;
and
(c) provide the Commission and the appropriate Community authority
with a complete list of all its members dealing in rough diamonds,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
requirementsof thisArticle. It s hall notify all Community authoritiesof the namesand other relevant particularsof the membersof lis tedorganisations 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 thatmay be needed to assess the proper functioning of the systemof 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 credible
information 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 whetherthe 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 theCommunity 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 accordance
with the 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 — 07.11.2003 — 009.001 — 10
▼B
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 rulesand regulationsthat thisparticipant haslaiddown for the purpose of implementing the Kimberley Process Certifica-tion Scheme.
CHAPTER V
TRANSIT
Article 18
Articles4, 11, 12, and 14 s hall not apply to rough diamondswhich
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 diamondsare being trans ported 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 Statesmay des ignate one or more authoritiesin their
territory asCommunity authority and may attribute different tas kstothem.
2. Member States designating a Community authority shall provide
the Commission with the information showing that their designatedCommunity authoritiescan reliably, timely, effectively and adequately
fulfil the tasks required by this Regulation.
3. Member Statesmay limit the number of pointswhere the formal-
itiesprovided for in thisRegulation can be completed. They s hall
notify the Commission thereof. Based on the information provided
under paragraphs1 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 authoritiesmay as k 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 leviesor
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 with a 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 — 07.11.2003 — 009.001 — 11
▼M1
▼B
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 participantson international tradein rough diamondsand, where appropriate, cooperate in monitoringactivities and in the settlement of any disputes that may arise.
Article 22
1. In the performance of itsdutiesunder Articles8, 10, 15, 16, 17
and 19, the Commission shall be assisted by a Committee (hereinafterreferred to as‘the Committee’).
2. Where reference ismade to thisparagraph, Articles4 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 thisRegulation. Such ques tionsmay 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 activitiescovered by Articles3, 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 isby nature confidential or which isprovided 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 with legal proceedings. Such communication 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 with the original purpose of such information.
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, asthe cas e may be.2002R2368 — EN — 07.11.2003 — 009.001 — 12
▼B
Article 26
Compliance with thisRegulation doesnot dis charge any natural or
legal person from compliance, fully or partially, with any other 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
Statesin order to give effect to Article 5 of Regulation (EC) No 303/
2002.
Article 28
ThisRegulation s hall apply:
(a) within the Community territory, including itsairs pace, 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 isincorporated or cons tituted under the law of a
Member State.
Article 29
1. ThisRegulation s hall enter into force on the day of itspublication
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. Articles3, 4, 5, 10, 11, 12, 13, 14, 15 and 18 s hall apply from 1
February 2003.
ThisRegulation s hall be binding in itsentirety and directly applicable
in all Member States.2002R2368 — EN — 07.11.2003 — 009.001 — 13
▼M1
▼B
▼B
ANNEX I
KIMBERLEYPROCESSCERTIFICATION
SCHEME
PREAMBLE
PARTICIPANTS,
— RECOGNISING that the trade in conflict diamondsisa matter of s erious
international concern, which can be directly linked to the fuelling of armed
conflict, the activitiesof rebel movementsaimed 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
obligationsplaced upon s tatesby the United NationsCharter regarding the
maintenance of international peace and security;
— BEARING IN MIND that urgent international action isimperative to
prevent the problem of conflict diamondsfrom 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 NationsCharter, 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 diamondsin 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 diamondsto 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 initiativesalready taken to addres sthis
problem, in particular by the governmentsof Angola, the Democratic
Republic of Congo, Guinea and Sierra Leone and by other key producing,
exporting and importing countries , aswell asby the diamond indus try, 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 — 07.11.2003 — 009.001 — 14
▼B
in the chain of producing, exporting and importing rough diamondswithin
their own territories, while taking into account that differences in production
methodsand trading practicesaswell asdifferencesin ins titutional 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 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 meansrough diamondsus ed by rebel movementsor
their alliesto 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 meansthe country where a s hipment of rough
diamondshasbeen mined or extracted;
COUNTRY OF PROVENANCE means the last Participant from where a ship-
ment of rough diamondswasexported, asrecorded 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 meansthe phys ical 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 meansa part of the territory of a Participant where any
goodsintroduced are generally regarded, ins ofar asimport dutiesand taxesare
concerned, as being outside the customs territory;
IMPORT meansthe phys ical 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 formalitiesand particularly the verification of accompanying
Kimberley Process Certificates;
KIMBERLEY PROCESS CERTIFICATE means a forgery resistant document
with a particular format which identifiesa s hipment of rough diamondsasbeing
in compliance with the requirementsof 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 meansone or more diamondsthat are packed together and that are not
individualised;
PARCEL OF MIXED ORIGIN meansa parcel that containsrough diamonds
from two or more countriesof origin, mixed together;
PARTICIPANT means a state or a regional economic integration organisation
for which the Certification Scheme iseffective;
REGIONAL ECONOMIC INTEGRATION ORGANISATION meansan 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 7102 10 00, 7102 21 00 and 7102 31 00;
SHIPMENT meansone or more parcelsthat are phys ically imported or
exported;2002R2368 — EN — 07.11.2003 — 009.001 — 15
▼B
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)
accompanieseach s hipment of rough diamondson export;
(b) its processes for issuing Certificates meet the minimum standards of the
Kimberley Process as set out in Section IV;
(c) Certificatesmeet the minimum requirementss et out in Annex I. Aslong 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 notifiesall other Participantsthrough the Chair of the featuresof itsCerti-
ficate as specified in Annex I, for purposes of validation.
SECTIONIII
Undertakingsinrespectoftheinternationaltradeinroughdiamonds
Each Participant should:
(a) with regard to shipments of rough diamonds exported to a Participant,
require that each such shipment is accompanied by a duly validated Certifi-
cate;
(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, the number of parcels, the carat weight and the
detailsof 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
itsterritory in an identical s tate asit entered itsterritory (i.e. unopened and
not tampered with).
SECTIONIV
Internalcontrols
Undertakingsby Participants
Each Participant should:
(a) establish a system of internal controls designed to eliminate the presence of
conflict diamondsfrom s hipmentsof rough diamondsimported into and
exported from itsterritory;
(b) designate an Importing and an Exporting Authority(ies);
(c) ensure that rough diamonds are imported and exported in tamper resistant
containers;
(d) asrequired, amend or enact appropriate lawsor regulationsto 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 optionsand recommendationsfor internal controls
aselaborated in Annex II.2002R2368 — EN — 07.11.2003 — 009.001 — 16
▼B
Principlesof Indus try 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
warrantiesunderpinned through verification by independent auditorsof 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
Participantss hould:
(a) provide to each other through the Chair information identifying their desig-
nated authorities or bodies responsible for implementing the provisions of
thisCertification Scheme. Each Participant s hould provide to other Partici-
pantsthrough 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 Participantsthrough 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 Partici-
pant;
(f) cooperate with other Participantsto attempt to res olve problemswhich 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 agenciesand between cus tomsagenciesof Participants .
SECTIONVI
Administrativematters
MEETINGS
1. Participantsand Obs erversare 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. Meetingsare to be held in the country where the Chair islocated, unles sa
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 — 07.11.2003 — 009.001 — 17
▼B
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 thisDocument;
(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 such additional responsibilities as the Plenary meetings, or
any working group delegated by Plenary meetings, may instruct.
PARTICIPATION
8. Participation in the Certification Scheme isopen on a global, non-dis crimi-
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 Participantswithin 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. Participantsare to prepare, and make available to other Participants , in
advance of annual Plenary meetings of the Kimberley Process, information
ass tipulated 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 meetingsisto include an item where infor-
mation ass tipulated in paragraph (a) of Section V isreviewed and
Participants can provide further details of their respective systems at the
request of the Plenary.
13. Where further clarification isneeded, Participantsat Plenary meetings , upon
recommendation by the Chair, can identify and decide on additional verifi-
cation 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 indicationsof s ignificant 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-
pantswithout delay about the s aid 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 — 07.11.2003 — 009.001 — 18
▼B
MODIFICATIONS
17. This document may be modified by consensus of the Participants.
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
Participantsand Obs erversand 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 Participantsto conduct a thorough analys isof 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 yearsafter the effective s tarting 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 — 07.11.2003 — 009.001 — 19
▼B
Annex I to ANNEX I
CERTIFICATES
A.MinimumrequirementsforCertificates
A Certificate isto 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 isincorporated
— 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$— Number of parcelsin s hipment— Relevant Harmonised Commodity Description and Coding System— Validation of Certificate by the Exporting Authority
B.OptionalCertificate Elements
A Certificate may include the following optional features:
— Characteristics of a Certificate (for example as to form, additional data or
security elements)
— Quality characteristics of the rough diamonds in the shipment— A recommended import confirmation part should have the following
elements:
Country of destination
Identification of importer
Carat/weight and value in US$
Relevant Harmonised Commodity Description and Coding SystemDate of receipt by Importing AuthorityAuthentication by Importing Authority
C.OptionalProcedures
Rough diamonds may be shipped in transparent security bags.The unique Certificate number may be replicated on the container.2002R2368 — EN — 07.11.2003 — 009.001 — 20
▼B
Annex II to ANNEX I
RECOMMENDATIONS AS PROVIDED FOR IN SECTION IV, PARA-
GRAPH(F)
General Recommendations
1. Participantsmay appoint an official coordinator(s ) to deal with the imple-
mentation of the Certification Scheme.
2. Participantsmay cons ider 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. Participantsare 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 diamondswithin their territoriesare encouraged to identify the areas
of rebel diamond mining activity and provide thisinformation to all other
Participants. This information should be updated on a regular basis.
6. Participantsare encouraged to make known the namesof individualsor
companiesconvicted of activitiesrelevant to the purpos esof the Certifica-tion Scheme to all other Participantsthrough 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 rough diamonds should be registered and licensed by
each Participant'srelevant authorities .
14. Licensing records should contain the following 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 yearsdaily buying, s elling 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 — 07.11.2003 — 009.001 — 21
▼B
18. The Exporting Authority isencouraged, prior to validating a Certificate, to
require an exporter to provide a declaration that the rough diamondsbeing
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
detailss uch asthe 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 wasperformed in accordance with the Certification Scheme.
23. The Importing Authority should open and inspect the contents of the ship-
ment to verify the detailsdeclared 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. Shipmentsof rough diamondsto and from free trade zoness hould be
processed by the designated authorities.2002R2368 — EN — 07.11.2003 — 009.001 — 22
▼B
Annex III to ANNEX I
STATISTICS
Recognising that reliable and comparable data on the production and the inter-
national trade in rough diamonds are an essential tool for the effective
implementation of the Certification Scheme, and particularly for identifying
any irregularitiesor anomalieswhich could indicate that conflict diamondsare
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 rough diamond exports and
imports , aswell asthe numbersof certificatesvalidated for export, and of
imported shipments accompanied by Certificates;
(b) to keep and publish statistics 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-
tions7102 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 statis-
ticsit s hould 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 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 diamondsat annual Plenary meetings , with a view to
addressing related issues, and to supporting effective implementation of the
Certification Scheme.2002R2368 — EN — 07.11.2003 — 009.001 — 23
▼M10
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
— MineralsDevelopment 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 Affairsand International Trade
Peace Building and Human Security DivisionLester B Pearson Tower B — Room: B4-120125 Sussex Drive Ottawa, Ontario K1A 0G2Canada2002R2368 — EN — 07.11.2003 — 009.001 — 24
▼M10
—For specimen of the Canadian KP Certificate:
Stewardship Division
International and Domestic Market Policy Division
Mineral and Metal Policy Branch
Mineralsand MetalsSectorNatural Resources Canada
580 Booth Street, 10th floor, Room: 10A6
Ottawa, OntarioCanada K1A 0E4
—General Enquiries:
Kimberley Process Office
Mineralsand MetalsSector (MMS)
Natural Resources Canada (NRCan)
10th Floor, Area A -7580 Booth Street
Ottawa, Ontario
Canada K1A 0E4
CENTRAL AFRICAN REPUBLIC
Independent Diamond Valuators(IDV)
Immeuble SOCIM, 2
eétage
BP 1613 Bangui
Central African Republic
CHINA, People'sRepublic of
Department of Inspection and Quarantine Clearance
General Administration of Quality Supervision, Inspection and Quarantine
(AQSIQ)
9 MadiandongluHaidian District, Beijing
People'sRepublic 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'sRepublic 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 Minesand 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 — 07.11.2003 — 009.001 — 25
▼M10
EUROPEAN COMMUNITY
European Commission
DG External RelationsA/2B-1049 Brussels
GHANA
PreciousMineralsMarketing Company (Ltd)
Diamond House
Kinbu Road
PO Box M. 108
Accra
Ghana
GUINEA
Ministry of Mines and Geology
BP 2696
Conakry
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. 851024 Budapest
Hungary
INDIA
The Gem & Jewellery Export Promotion Council
Diamond Plaza, 5
thFloor 391-A, Fr D.B. Marg
Mumbai 400 004India
ISRAEL
Ministry of Industry and Trade
P.O. Box 3007
52130 Ramat Gan
Israel
JAPAN
— United NationsPolicy Divis ion
Foreign Policy Bureau
Ministry of Foreign Affairs
2-11-1, 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
Japan
KOREA, Republic of
— UN Division
Ministry of Foreign Affairs and Trade
Government Complex Building
77 Sejong-ro, Jongro-gu
SeoulKorea2002R2368 — EN — 07.11.2003 — 009.001 — 26
▼M10
— Trade Policy Division
Ministry of Commerce, Industry and Enterprise
1 Joongang-dong, Kwacheon-City
Kyunggi-do
Korea
LAOS, People'sDemocratic Republic
Department of Foreign Trade
Ministry of Commerce
Vientiane
Laos
LEBANON
Ministry of Economy and Trade
Beirut
Lebanon
LESOTHO
Commission of Mines and Geology
PO Box 750
Maseru 100
Lesotho
MALAYSIA
Ministry of International Trade and Industry
Blok 10
Komplek Kerajaan Jalan Duta
50622 Kuala Lumpur
Malaysia
MAURITIUS
Ministry of Commerce and Co-operatives
Import Division
2nd Floor, Anglo-MauritiusHous e
Intendance Street
Port Louis
Mauritius
NAMIBIA
Diamond Commission
Ministry of Mines and Energy
Private Bag 13297
Windhoek
Namibia
POLAND
Ministry of Economy, Labour and Social Policy
Plac Trzech Krzyzy 3/5
00-507 Warsaw
Poland
ROMANIA
National Authority for Consumer Protection
Strada GeorgesClemenceau Nr. 5, s ectorul 1
BucharestRomania
RUSSIAN FEDERATION
Gokhran of Russia
14, 1812 Goda St.
121170 Moscow
Russia
SIERRA LEONE
Ministry of Minerals Resources
Youyi Building
Brookfields2002R2368 — EN — 07.11.2003 — 009.001 — 27
▼M10
Freetown
Sierra Leone
SLOVENIA
Ministry of the Finance
Customs Office Ljubljana
Branch Airport Brnik
Zgornji Brnik 130 D
4210 Brnik Aerodrom
Republic of Slovenia
SOUTH AFRICA
South African Diamond Board
240 Commissioner Street
JohannesburgSouth Africa
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 esSalam
Tanzania
THAILAND
Ministry of Commerce
Department of Foreign Trade
44/100 Thanon Sanam Bin Nam-Nonthaburi
Muang District
Nonthaburi 11000
Thailand
TOGO
Directorate General — Minesand Geology
BP 356216, Avenue Sarakawa
Lomé
Togo
UKRAINE
— Ministry of Finance
State Gemological Center
Degtyarivska St. 38-44
Kiev
04119 Ukraine
— International Department
Diamond Factory ‘Kristall’2002R2368 — EN — 07.11.2003 — 009.001 — 28
▼M10
600 Letiya Street 21
21100 Vinnitsa
Ukraine
UNITED ARAB EMIRATES
Dubai Metalsand CommoditiesCentre
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 Statesof America
VENEZUELA
Ministry of Energy and Mines
Apartado Postal no61536 Chacao
Caracas1006
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 MineralsDevelopment Office
Ministry of Mines and Mining Development
Private Bag 7709, Causeway
Harare
Zimbabwe2002R2368 — EN — 07.11.2003 — 009.001 — 29
▼B
ANNEX III
ListofMemberStates'competentauthoritiesandtheirtasksasreferred to
inArticles2and19
1. the Government Diamond Office (GDO) within the United NationsDepart-
ment of the Foreign and Commonwealth Office,
King CharlesStreet,
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, bus71
B-2000 Antwerpen
tel. (32-3) 206 94 70
fax (32-3) 206 94 90
e-mail: Diamond@mineco.fgov.be
In Belgium the controlsof importsand exportsof rough diamondsrequired
by Regulation (EC) No 2368/2002 and the customs treatment will only be
done at:
The Diamond Office,
Hovenierstraat 22
B-2018 Antwerpen2002R2368 — EN — 07.11.2003 — 009.001 — 30
▼M2
▼B
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 Certificatesmay be printed by printersappointed 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'sname and addres sor 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 with invisible (yellow/red) UV fibres;
— Solvent sensitive;
— UV dull (featuresin the document s tand 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 isinvis ible in normal light.
— EU Flag: Printed gold and European blue;
— Intaglio Border;
— Tactile Intaglio ink isone of the mos t important featuresin 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 — 07.11.2003 — 009.001 — 31
▼M2
▼B
▼M2
▼B
▼B
— 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 — 07.11.2003 — 009.001 — 32
▼M2
▼B
▼B
(b) right side:
2002R2368 — EN — 07.11.2003 — 009.001 — 33
▼B
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
Beursvoor 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 — 07.11.2003 — 009.001 — 34
▼M4
▼M6