Council Regulation (EC) No 2368/2002 of 20 December 2002 implementing the Kimberley Process certification scheme for the international trade in rough diamonds
Date: 2002-12-20
Institutions: Council of the European Union
Subjects: Community certification, export monitoring, import policy, international trade, precious stones, self-regulation, trade restriction

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COUNCIL REGULATION (EC) No 2368/2002

of 20 December 2002

implementing the Kimberley Process certification scheme for the international trade in rough
diamonds

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Commu-
nity, and in particular Article 133 thereof,

Having regard to the proposal from the Commission,

Whereas:

(1)

(2)

(3)

(4)

(5)

The sanctions adopted by the United Nations Security
Council against the rebel movements in Sierra Leone
and Angola and against the Liberian government, prohi-
biting under
rough
diamonds from Liberia, Angola and Sierra Leone have
not been able to stop the flow of conflict diamonds into
the legitimate trade or to bring the conflicts to a halt.

certain conditions

imports of

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.

Council Regulation (EC) No 303/2002 of 18 February
2002 concerning the importation into the Community
of rough diamonds from Sierra Leone (1) prohibits, under
certain conditions, the importation of rough diamonds
into the Community.

There is a need to complement the existing measures
with effective controls over the international trade in
rough diamonds in order to prevent the trade in conflict
diamonds from financing the efforts of rebel movements
and their allies to undermine legitimate governments.
Effective control will help maintain international 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.

The Kimberley Process negotiations, bringing together
the Community and producer and trading countries
representing practically all international trade in rough
diamonds, as well as the diamond industry and represen-
tatives of civil society, were initiated with a view to
developing such an effective control system. They led to
the development of a certification scheme.

(1) OJ L 47, 19.2.2002, p. 8.

(6)

(7)

(8)

(9)

All participants accepted the outcome of the negotia-
tions as the basis for implementing measures within
their own jurisdiction.

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.

Implementation of the certification scheme requires that
the imports and exports of rough diamonds into or from
the territory of the Community be made subject to the
certification scheme, including the issue of the relevant
certificates by participants in the scheme.

Each Member State may designate the authority or
authorities responsible for the implementation of the
relevant provisions of this Regulation within its territory
and may limit the number of authorities.

(10)

The validity of certificates for imported rough diamonds
should be properly verified by the competent authorities
of the Community.

(11)

(12)

(13)

(14)

Compliance with this Regulation should not be
construed as equivalent or as an alternative to compli-
ance with any other requirements under Community
legislation.

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 services should exercise due diligence in estab-
lishing that the provisions of this Regulation are duly
applied.

Export certificates for rough diamonds should only be
issued and validated where there is conclusive evidence
that those diamonds have been imported under a certifi-
cate.

Circumstances may justify that the competent authority
of the importing participant should send the competent
authority of the exporting participant confirmation of
import of shipments of rough diamonds.

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(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 facili-
tate the provision of such conclusive evidence.

(16)

(17)

(18)

(19)

(20)

Provisions should be made to allow the export of rough
diamonds imported before the applicability of specific
import controls provided for by this Regulation.

Each Member State should determine the sanctions
applicable in the event of a breach of this Regulation.

The provisions of this Regulation concerning the import
and export of rough diamonds should not apply to
rough diamonds transiting the Community in the course
of export to another Participant.

the purposes of

For
implementing the certification
scheme, the Community should be a participant in the
Kimberley Process certification scheme.
It should be
represented by the Commission at meetings of partici-
pants in the Kimberley Process certification scheme.

The measures necessary for the implementation of this
Regulation 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 Commission (1).

(21) A forum should be created to enable the Commission
and the Member States to examine questions concerning
the application of this Regulation.

(22)

This Regulation should enter into force on the day of its
publication, but the provisions on import and export
control should be suspended until a date has been agreed
in the Kimberley Process for the simultaneous imple-
mentation of the import and export controls by all parti-
cipants,

HAS ADOPTED THIS REGULATION:

CHAPTER I

SUBJECT MATTER AND DEFINITIONS

Article 1

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 partici-
pants have designed an international certification scheme
for rough diamonds;

(b) ‘Kimberley Process certification scheme’

(hereinafter ‘KP
certification scheme’) means the international certification
scheme negotiated by the Kimberley Process as set out in
Annex I;

(c) ‘Participants’ means participants in the KP certification

scheme listed in Annex II;

(d) ‘certificate’ means a document duly issued and validated by
a participant's competent authority identifying a shipment
of rough diamonds as being in compliance with the
requirements of the KP certification scheme;

(e) ‘competent authority’ means the authority designated by a

participant to issue, validate or verify certificates;

(f) ‘Community authority’ means a competent authority desig-

nated 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) ‘rough diamond’ means a diamond that is unworked or
simply sawn, cleaved or bruted and falls under the Harmo-
nised Commodity Description
System
7102 10, 7102 21 and 7102 31 (hereinafter ‘HS code’);

and Coding

(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;

This Regulation sets up a Community system of certification
and import and export controls for rough diamonds for the
purposes of implementing the Kimberley Process certification
scheme.

(1) OJ L 184, 17.7.1999, p. 23.

(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;

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(o) ‘Community territory’ means the territories of the Member
States to which the Treaty is applicable, under the condi-
tions laid down in that Treaty;

(p) ‘Certified stock’ means a stock of rough diamonds to which
this Regulation applies, and whose location, volume and
value, and changes therein, have been submitted to effec-
tive 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

IMPORT REGIME

Article 3

The importer shall be responsible for the proper move-

4.
ment of the rough diamonds and the costs thereof.

A Community authority shall opt

5.
the
following methods to verify that the content of a container
matches the particulars on the corresponding certificate:

for either of

(a) it will open each container with a view to such verification;

or

(b) it will identify the containers to be opened with a view to
such verification on the basis of a risk analysis or equiva-
lent system that gives due consideration to rough diamond
shipments.

A Community authority shall complete the verification

6.
without delay.

Article 5

The import of rough diamonds into the Community shall be
prohibited unless all of the following conditions are fulfilled:

If a Community authority establishes that the conditions

1.
in Article 3 are:

(a) the rough diamonds are accompanied by a certificate vali-

dated 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 partici-
pant are not broken;

(c) the certificate clearly identifies the consignment to which it

refers.

Article 4

Containers and the corresponding certificates shall be
1.
submitted for verification, together and at the earliest opportu-
nity, to a Community authority either in the Member State
where they are imported or in the Member State for which they
are destined, as indicated in accompanying documents.

2.
In cases where rough diamonds are imported into a
Member State where there is no Community authority, they
shall be submitted to the appropriate 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 be submitted to an
appropriate Community authority in another Member State.

3.
The Member State where the rough diamonds are
imported shall ensure their submission to the appropriate
Community authority provided for in paragraphs 1 and 2.
Customs transit may be granted to that effect. If such customs
transit is granted, the verification provided for by this Article
shall be suspended until arrival at the appropriate Community
authority.

(1) OJ L 302, 19.10.1992, p. 1. Regulation as last amended by Regula-

tion (EC) No 2700/2000 (OJ L 311, 12.12.2000, p. 17).

(a) fulfilled, it shall confirm this on the original certificate and
provide the importer with an authenticated and forgery-
resistant copy of that confirmed certificate. This confirma-
tion 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 conditions 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 proceed with the confirmation and release
the shipment, after the necessary remedial measures have been
taken to ensure that the conditions 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 ship-
ment of any failure 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 have been 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
confirmation that it considers rough diamonds to have fulfilled
the conditions of Article 3,
if it has established that those
diamonds were legally present in the Community at that date
and have been so since.

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Article 7

Notwithstanding the provisions of Articles 3, 4 and 5, a
Community authority may allow the
rough
diamonds if the importer provides 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 Article 29(3).

import of

In such cases, the Community authority concerned shall issue
the importer with a confirmation of legal import, to the effect
that those diamonds shall be considered to have fulfilled the
conditions of Article 3.

Article 8

1.
The Commission shall consult participants on the prac-
tical arrangements for providing the competent authority of the
exporting participant that has validated a certificate with confir-
mation 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 guidelines for such confirmation.

Article 9

the participants' certificates,

The Commission shall provide all Community authorities with
authenticated specimens of
the
names and other relevant details of the participants issuing
and/or validating authorities,
authenticated specimens of
stamps and signatures attesting that a certificate 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 verifica-
tion under Article 4.

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,

(i) the value,

(j) the verifying Community authority,

(k) the date of verification.

The Community authority shall keep the originals of
2.
certificates provided for under Article 3(a) submitted for verifi-
cation for at least three years. It shall provide the Commission
or persons or bodies designated by the Commission with access
to these original certificates in particular with a view to
answering questions raised within the framework of the KP
certification scheme.

CHAPTER III

EXPORT REGIME

Article 11

The export from the Community of rough diamonds shall be
prohibited unless both of the following conditions are fulfilled:

(a) the rough diamonds are accompanied by a corresponding
Community certificate issued and validated by a Commu-
nity authority;

(b) the rough diamonds are contained in tamper-resistant

containers sealed in accordance with Article 12.

Article 12

The Community authority may issue a Community certifi-

1.
cate 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 lawfully imported in accordance with the 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 territory of a participant, and

(d) the rough diamonds are to be transported in a tamper-resis-

tant container.

2.
A Community authority shall not validate a Community
certificate until it has verified that the content of the container
matches the particulars on the corresponding certificate and
that
the tamper-resistant container containing the rough
diamonds has subsequently been sealed on the responsibility of
that authority.

A Community authority shall opt

3.
the
following methods to verify that the content of a container
matches the particulars thereon on the certificate:

for either of

(a) it will verify the content of each container; or

(b) it will identify the containers, the content of which shall be
verified, on the basis of a risk analysis or equivalent system
that gives due consideration to rough diamond shipments.

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.

4.
The Community authority shall provide the exporter with
an authenticated forgery-resistant copy of the Community certi-
ficate it has validated. The exporter shall keep any copy acces-
sible for at least three years.

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The Community certificate shall be valid for export for
5.
no more than two months from the date of issue. If the rough
diamonds are not exported within this period, the Community
certificate
issuing Community
returned to the
authority.

shall be

Community authorities shall keep for at least three years
2.
the authenticated copies provided for under Article 12(4) as
well as all information received from an exporter to justify the
issue and validation of a Community certificate.

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
into the Community a signed
declaration by the exporter to that effect. Such a declaration
shall contain at least the information to be given in an invoice
under Article 17(2)(a)(ii).

import

lawful

Article 14

If a Community authority establishes that a shipment of
1.
rough diamonds,
is
requested, does not fulfil the conditions of Articles 11, 12, or
13, that authority shall detain the shipment.

for which a Community certificate

2.
If a Community authority finds that the failure to fulfil
the conditions 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 a Community Certificate, after the
necessary remedial measures have been 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 any failure to fulfil the conditions.

Article 15

Community authorities shall provide the Commission
1.
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
the certification scheme's
order to facilitate monitoring of
working.

They shall provide the Commission or persons or bodies desig-
nated by the Commission with access to those authenticated
copies and this information,
in particular with a view to
answering questions raised within the framework of the KP
certification scheme.

Article 16

1.
The Commission shall consult participants on the prac-
tical arrangements for obtaining confirmation of imports of
rough diamonds 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 down guidelines for such confirmation.

CHAPTER IV

INDUSTRY SELF-REGULATION

Article 17

1.
Organisations representing traders in rough diamonds
which have established a system of warranties and industry
self-regulation for the purposes of implementing the KP Certifi-
cation Scheme may apply to the Commission for listing in
Annex V directly or through the appropriate Community
authority.

2. When applying for listing, an organisation shall:

(a) provide conclusive evidence that adopted rules and regula-
tions 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 with the provisions of relevant United
Nations Security 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 basis of their personal
knowledge and/or written warranties provided by the
supplier of
rough
such rough diamonds,
diamonds sold are therefore not conflict diamonds;

the

(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 identifica-
tion number of the seller, where applicable, the quan-
tity/weight and qualification of the goods sold, the
value of the transaction and the date of delivery;

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(iii) not buy rough diamonds from suspect or unknown
sources of supply and/or rough diamonds originating
in non-participants in the KP certification scheme;

(iv) not buy rough diamonds from any source found, after
legally binding due process, to have violated govern-
ment laws and regulations concerning the trade in
conflict diamonds;

In accordance with the procedure referred to in Article
4.
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 parti-
culars of the members of listed organisations and any changes
therein.

(v) not buy rough diamonds in, or from, any region that
is the subject of an advisory notice from a govern-
mental or KP certification scheme authority to the
effect that conflict diamonds are emanating from, or
are available for sale in, that region;

5.

(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
fully
informed of trade resolutions and government regula-
tions restricting the trade in conflict diamonds;

are

(viii) create and maintain for at least three years records of
invoices received from suppliers and issued to custo-
mers;

(ix) instruct an independent auditor to certify that these
records have been created and maintained accurately
and either that it has identified no transactions which
failed to comply with the undertakings referred to in
(i) to (viii) or that any transaction which failed to
comply with such undertakings has been duly
reported to the appropriate Community authority;

and

(b) provide conclusive evidence that is has adopted rules and

regulations which oblige the organisation:

(i) to expel any member found, after a due process
inquiry by the organisation itself, to have seriously
violated the abovementioned undertakings; and

(ii) to publicise that member's expulsion and notify the

Commission thereof;

(iii) to make known to all its members all governmental
and KP certification scheme laws,
regulations and
guidelines regarding conflict diamonds and the names
of any natural or legal person found guilty, after legally
binding due process, of violating these laws and regula-
tions;

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.

Organisations covered by this Article shall

3.
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.

(a) A listed organisation or a member thereof shall provide
the relevant 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
that
Community authority may require additional guarantees
that an organisation is able to maintain a credible
system.

circumstances

justify,

(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 established or resident in that Member State, or a
member thereof established or resident in that Member State, is
infringing the provisions 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
organisation or a member thereof
is infringing the
provisions of this Article, it shall request an assessment
of
the situation by the Community authority of a
Member State in which the organisation or its member
is resident or established. Upon such request, the rele-
vant Community authority shall promptly inquire into
the matter and duly inform the Commission of its find-
ings.

(b) If the Commission, on the basis of reports, assessments
or other pertinent information, comes to the conclusion
that a system of warranties and industry self-regulation
does not function properly, 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 resi-
dent or established will notify the Commission thereof without
delay. In turn, the Commission, in accordance with the proce-
dure referred to in Article 22(2), shall take the appropriate
measures with a view to removing that organisation from the
list in Annex V.

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If a listed organisation or one or more of its members are
9.
established or resident in a Member State that has not desig-
nated a Community 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 Commu-
nity shall be considered to have complied with the provisions
of this Article if they comply with the rules and regulations
that this participant has laid down for the purpose of imple-
menting the Kimberley Process Certification 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 a participant other than the Community, on condi-
tion that neither
in which rough
the original container
diamonds are being transported nor the original accompanying
certificate issued by a competent authority of 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

GENERAL PROVISIONS

Article 19

1. Member States may designate one or more authorities in
their
territory as Community authority and may attribute
different tasks to them.

2. Member States designating a Community authority shall
provide the Commission with the information showing that
their designated Community authorities can reliably, timely,
effectively and adequately fulfil the tasks required by this Regu-
lation.

3. Member States may limit the number of points where the
formalities provided for in this Regulation can be completed.
They shall notify the Commission thereof. Based on the infor-
mation provided under paragraphs 1 and 2 and in accordance
with the procedure referred to in Article 22(2), the Commission
shall maintain in Annex III a list of Community authorities,
their location and the tasks entrusted to them.

Community authorities may ask an economic operator to
4.
pay a fee for the production, issue and/or validation of a certifi-
cate and for a physical inspection in accordance with Articles 4
and 14. Under no circumstances 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 with a view to improving its security,
processing and functionality for the purposes of the KP certifi-
cation scheme.

Article 20

On the basis of the relevant information from the chair of the
Kimberley Process and/or participants, the Commission may
amend the list of participants and the competent authorities
they have designated to issue and validate their certificates in
Annex II.

Article 21

The Community shall be a participant in the Kimberley

1.
Process certification scheme.

implementation of

2.
The Commission, which represents the Community in the
Kimberley Process certification scheme, shall aim to ensure
optimal
in
particular through cooperation with participants. To this end,
the Commission shall, in particular, exchange information with
participants on international
trade in rough diamonds and,
where appropriate, cooperate in monitoring activities and in
the settlement of any disputes that may arise.

the KP certification scheme,

Article 22

In the performance of its duties under Articles 8, 10, 15,
the Commission shall be assisted by a

1.
16, 17 and 19,
Committee (hereinafter referred 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 repre-
sentative of a Member State.

Article 24

1.
Any natural or legal person providing services directly or
indirectly related to the activities covered by Articles 3, 4, 6, 7,
11, 12, 13, 17 or 18 shall exercise due diligence for estab-
lishing that the activities for which it provides services comply
with the provisions of this Regulation.

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The participation, knowingly and intentionally, in activ-
2.
ities, the object or effect of which is, directly or indirectly, to
circumvent the provisions of this Regulation shall be prohib-
ited.

The Commission shall be notified of any information
3.
suggesting that the provisions of this Regulation are being, or
have been, circumvented.

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 obliga-
tion of professional secrecy. It shall not be disclosed by the
Commission without
the person
providing it.

the express permission of

such information shall however be
Communication of
permitted where the Commission is obliged or authorised to do
so,
in particular in connection with legal proceedings. Such
communication must take into account the legitimate interests
of the person concerned that his or her business secrets should
not be divulged.

This Article shall not preclude the disclosure of general infor-
mation by the Commission. Such disclosure shall not be
permitted if this is incompatible with the original purpose of
such information.

In the event of a breach of confidentiality, the originator of the
information shall be entitled to obtain that it be deleted, disre-
garded or rectified, as the case may be.

Article 26

Compliance with this Regulation does not discharge any
natural or legal person from compliance, fully or partially, with
any other obligation under other Community or national legis-
lation.

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 of preventing those responsible for the infrin-
gement from obtaining any economic 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 Regulation are 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

This Regulation shall enter into force on the day of its

1.
publication in the Official 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 and the need for a review or repeal of the Regula-
tion.

3.
The application of Articles 3, 4, 5, 10, 11, 12, 13, 14, 15
and 18 shall be suspended until the Council decides to apply
these Articles on the basis of a proposal from the Commission.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 20 December 2002.

For the Council

The President

L. ESPERSEN

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ANNEX I

KIMBERLEY PROCESS CERTIFICATION SCHEME

PREAMBLE

PARTICIPANTS,

— RECOGNISING that the trade in conflict diamonds is a matter of serious international concern, which can be directly
linked to the fuelling of armed conflict, the activities of rebel movements aimed at undermining or overthrowing
legitimate governments, and the illicit traffic in, and proliferation of, armaments, especially small arms and light
weapons;

— FURTHER RECOGNISING the devastating impact of conflicts fuelled by the trade in conflict diamonds on the peace,
safety and security of people in affected countries and the systematic and gross human rights violations that have
been perpetrated in such conflicts;

— NOTING the negative impact of such conflicts on regional stability and the obligations placed upon states by the

United Nations Charter regarding the maintenance of international peace and security;

— BEARING IN MIND that urgent international action is imperative to prevent the problem of conflict diamonds from
negatively affecting the trade in legitimate diamonds, which makes a critical contribution to the economies of many
of the producing, processing, exporting and importing states, especially developing states;

— RECALLING all of the relevant resolutions of the United Nations Security Council under Chapter VII of the United
Nations Charter, including the relevant provisions of Resolutions 1173 (1998), 1295 (2000), 1306 (2000), and
1343 (2001), and determined to contribute to and support the implementation of the measures provided for in these
resolutions;

— HIGHLIGHTING the United Nations General Assembly Resolution 55/56 (2000) on the role of the trade in conflict
diamonds in fuelling armed conflict, which called on the international community to give urgent and careful consid-
eration to devising effective and pragmatic measures to address this problem;

— FURTHER HIGHLIGHTING the recommendation in United Nations General Assembly Resolution 55/56 that the
international community develop detailed proposals for a simple and workable international certification scheme for
rough diamonds based primarily on national certification schemes and on internationally agreed minimum stan-
dards;

— 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 certification scheme for rough diamonds designed to exclude conflict diamonds from the
legitimate trade;

— RECALLING that the Kimberley Process considered that an international certification scheme for rough diamonds,
based on national laws and practices and meeting internationally agreed minimum standards, will be the most effec-
tive 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-regulation contributes to ensuring an effective internal control system of rough diamonds
based upon the international certification scheme for rough diamonds;

— RECOGNISING that an international certification scheme for rough diamonds will only be credible if all Participants
have established internal systems of control designed to eliminate the presence of conflict diamonds in the chain of
producing, exporting and importing rough diamonds within their own territories, while taking into account that
differences in production methods and trading 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 rough diamonds must be consistent with

international law governing international trade;

— ACKNOWLEDGING that state sovereignty should be fully respected and the principles of equality, mutual benefits

and consensus should be adhered to,

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RECOMMEND THE FOLLOWING PROVISIONS:

SECTION I

Definitions

For the purposes of the international certification scheme for rough diamonds (hereinafter referred to as ‘the Certification
Scheme’) the following definitions apply:

CONFLICT DIAMONDS means rough diamonds used by rebel movements or their allies to finance conflict aimed at
undermining legitimate governments, as described in relevant United Nations Security Council
(UNSC) resolutions
insofar as they remain in effect, or in other similar UNSC resolutions which may be adopted in the future, and as under-
stood and recognised in United Nations General Assembly (UNGA) Resolution 55/56, or in other similar UNGA resolu-
tions which may be adopted in future;

COUNTRY OF ORIGIN means the country where a shipment of rough diamonds has been mined or extracted;

COUNTRY OF PROVENANCE means the last Participant from where a shipment of rough diamonds was exported, as
recorded on import documentation;

DIAMOND means a natural mineral consisting essentially of pure crystallised carbon in the isometric system, with a
hardness on the Mohs (scratch) scale of 10, a specific gravity of approximately 3.52 and a refractive index of 2.42;

EXPORT means the physical leaving/taking out of any part of the geographical territory of a Participant;

EXPORTING AUTHORITY means the authority(ies) or body(ies) designated by a Participant from whose territory a ship-
ment 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 ship-
ment 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-partici-
pating 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 effec-
tive;

REGIONAL ECONOMIC INTEGRATION ORGANISATION means an organisation comprised of sovereign states that
have transferred competence to that organisation in respect of matters governed by the Certification Scheme;

ROUGH DIAMONDS means diamonds that are unworked or simply sawn, cleaved or bruted and fall under the Relevant
Harmonised Commodity Description and Coding System 7102 10 00, 7102 21 00 and 7102 31 00;

SHIPMENT means one or more parcels that are physically imported or exported;

TRANSIT means the physical passage across the territory of a Participant or a non-Participant, with or without tranship-
ment, 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;

SECTION II

The Kimberley Process Certificate

Each Participant should ensure that:

(a) a Kimberley Process Certificate (hereafter referred to as the Certificate) accompanies each shipment of rough

diamonds on export;

(b) its processes for issuing Certificates meet the minimum standards of the Kimberley Process as set out in Section IV;

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(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, addi-
tional data or security elements;

(d) it notifies all other Participants through the Chair of the features of its Certificate as specified in Annex I, for

purposes of validation.

SECTION III

Undertakings in respect of the international trade in rough diamonds

Each Participant should:

(a) with regard to shipments of rough diamonds exported to a Participant, require that each such shipment is accompa-

nied by a duly validated Certificate;

(b) with regard to shipments of rough diamonds imported from a Participant:

— require a duly validated Certificate;
— ensure that confirmation of receipt is sent expeditiously to the relevant Exporting Authority. The confirmation
should as a minimum refer to the Certificate number, 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).

SECTION IV

Internal controls

Undertakings by Participants

Each Participant should:

(a) establish a system of internal controls designed to eliminate the presence of conflict diamonds from shipments of

rough diamonds imported into and exported from its territory;

(b) designate an Importing and an Exporting Authority(ies);

(c) ensure that rough diamonds are imported and exported in tamper resistant containers;

(d) as required, amend or enact appropriate laws or regulations to implement and enforce the Certification Scheme and

to maintain dissuasive and proportional penalties for transgressions;

(e) collect and maintain relevant official production, import and export data, and collate and exchange such data in

accordance with the provisions of Section V.

(f) when establishing a system of internal controls, take into account, where appropriate, the further options and

recommendations for internal controls as elaborated in Annex II.

Principles of Industry Self-Regulation

Participants understand that a voluntary system of industry self-regulation, as referred to in the Preamble of this Docu-
ment, will provide for a system of warranties underpinned through verification by independent auditors of individual
companies and supported by internal penalties set by industry, which will help to facilitate the full traceability of rough
diamond transactions by government authorities.

SECTION V

Cooperation and transparency

Participants should:

(a) provide to each other through the Chair information identifying their designated authorities or bodies responsible
for implementing the provisions of this Certification Scheme. Each Participant should provide to other Participants
through the Chair information, preferably in electronic format, on its relevant laws, regulations, rules, procedures
and practices, and update that information as required. This should include a synopsis in English of the essential
content of this information;

(b) compile and make available to all other Participants through the Chair statistical data in line with the principles set

out in Annex III;

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(c) exchange on a regular basis experiences and other relevant information, including on self-assessment, in order to

arrive at the best practice in given circumstances;

(d) consider favourably requests from other Participants for assistance to improve the functioning of the Certification

Scheme within their territories;

(e) inform another Participant through the Chair if it considers that the laws, regulations, rules, procedures or practices
of that other Participant do not ensure the absence of conflict diamonds in the exports of that other Participant;

(f) cooperate with other Participants to attempt to resolve problems which may arise from unintentional circumstances
and which could lead to non-fulfilment of the minimum requirements for the issuance or acceptance of the Certifi-
cates, 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.

SECTION VI

Administrative matters

MEETINGS

1. Participants and Observers are to meet in Plenary annually, and on other occasions as Participants may deem neces-

sary, in order to discuss the effectiveness of the Certification Scheme.

2. Participants should adopt Rules of Procedure for such meetings at the first Plenary meeting.

3. Meetings are to be held in the country where the Chair is located, unless a Participant or an international organisation
offers to host a meeting and this offer has been accepted. The host country should facilitate entry formalities for
those attending such meetings.

4. At the end of each Plenary meeting, a Chair would be elected to preside over all Plenary meetings, 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.

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 provided for in this Document;

(b) to maintain and make available for the use of all Participants a collection of those laws, regulations, rules, proce-

dures, practices and statistics notified pursuant to Section V;

(c) to prepare documents and provide administrative support for Plenary and working group meetings;

(d) to undertake such additional responsibilities as the Plenary meetings, or any working group delegated by Plenary

meetings, may instruct.

PARTICIPATION

8. Participation in the Certification Scheme is open on a global, non-discriminatory basis to all Applicants willing and

able to fulfill the requirements of that Scheme.

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.

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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 information 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 verification measures to be undertaken. Such measures are to be implemented in
accordance with applicable national and international law. These could include, but need not be limited to measures
such as:

(a) requesting additional information and clarification from Participants;

(b) review missions by other Participants or their representatives where there are credible indications of significant

non-compliance with the Certification Scheme.

14. Review missions are to be conducted in an analytical, expert and impartial manner with the consent of the Partici-
pant concerned. The size, composition, terms of reference and time-frame of these missions should be based on the
circumstances and be established by the Chair with the consent of the Participant concerned and in consultation
with all Participants.

15. A report on the results of compliance verification measures is to be forwarded to the Chair and to the Participant
concerned within three weeks of completion of the mission. Any comments from that Participant as well as the
report, are to be posted on the restricted access section of an official Certification Scheme website no later than
three weeks after the submission of the report to the Participant concerned. Participants and Observers should make
every effort to observe strict confidentiality regarding the issue and the discussions relating to any compliance
matter.

COMPLIANCE AND DISPUTE PREVENTION

16. In the event that an issue regarding compliance by a Participant or any other issue regarding the implementation of
the Certification Scheme arises, any concerned Participant may so inform the Chair, who is to inform all Participants
without delay about the said concern and enter into dialogue on how to address it. Participants and Observers
should make every effort to observe strict confidentiality regarding the issue and the discussions relating to any
compliance matter.

MODIFICATIONS

17. This document may be modified by consensus of the Participants.

18. Modifications may be proposed by any Participant. Such proposals should be sent in writing to the Chair, at least

ninety days before the next Plenary meeting, unless otherwise agreed.

19. The Chair is to circulate any proposed modification expeditiously to all Participants and Observers and place it on

the agenda of the next annual Plenary meeting.

REVIEW MECHANISM

20. Participants intend that the Certification Scheme should be subject to periodic review, to allow Participants to
conduct a thorough analysis of all elements contained in the scheme. The review should also include consideration
of the continuing requirement for such a scheme, in view of the perception of the Participants, and of international
organisations, in particular the United Nations, of the continued threat posed at that time by conflict diamonds. The
first such review should take place no later than three years after the effective starting date of the Certification
Scheme. The review meeting should normally coincide with the annual Plenary meeting, unless otherwise agreed.

THE START OF THE IMPLEMENTATION OF THE SCHEME

21. The Certification Scheme should be established at the Ministerial Meeting on the Kimberley Process Certification

Scheme for Rough Diamonds in Interlaken on 5 November 2002.

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Annex I to ANNEX I

CERTIFICATES

A Certificate is to meet the following minimum requirements:

A. Minimum requirements for Certificates

— 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 Certifica-
tion Scheme for rough diamonds’

— Country of origin for shipment of parcels of unmixed (i.e. from the same) origin

— Certificates may be issued in any language, provided that an English translation is incorporated

— Unique numbering with the Alpha 2 country code, according to ISO 3166-1

— Tamper and forgery resistant

— Date of issuance

— Date of expiry

— Issuing authority

— Identification of exporter and importer

— Carat weight/mass

— Value in US$

— Number of parcels in shipment

— Relevant Harmonised Commodity Description and Coding System

— Validation of Certificate by the Exporting Authority

B. Optional Certificate Elements

A Certificate may include the following optional features:

— Characteristics of a Certificate (for example as to form, additional data or security elements)

— Quality characteristics of the rough diamonds in the shipment

— A recommended import confirmation part should have the following elements:

Country of destination
Identification of importer
Carat/weight and value in US$
Relevant Harmonised Commodity Description and Coding System
Date of receipt by Importing Authority
Authentication by Importing Authority

Rough diamonds may be shipped in transparent security bags.

The unique Certificate number may be replicated on the container.

C. Optional Procedures

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Annex II to ANNEX I

RECOMMENDATIONS AS PROVIDED FOR IN SECTION IV, PARAGRAPH (F)

General Recommendations

1. Participants may appoint an official coordinator(s) to deal with the implementation of the Certification Scheme.

2. Participants may consider the utility of complementing and/or enhancing the collection and publication of the statis-

tics 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 Parti-
cipants. This information should be updated on a regular basis.

6. Participants are encouraged to make known the names of individuals or companies convicted of activities relevant to

the purposes of the Certification Scheme to all other Participants through the Chair.

7. Participants are encouraged to ensure that all cash purchases of rough diamonds are routed through official banking

channels, supported by verifiable documentation.

8. Participants that produce diamonds should analyse their diamond production under the following headings:

— Characteristics of diamonds produced

— Actual production

Recommendations for Control over Diamond Mines

9. Participants are encouraged to ensure that all diamond mines are licensed and to allow only those mines so licensed

to mine diamonds.

10. Participants are encouraged to ensure that prospecting and mining companies maintain effective security standards

to ensure that conflict diamonds do not contaminate legitimate production.

Recommendations for Participants with Small-scale Diamond Mining

11. All artisanal and informal diamond miners should be licensed and only those persons so licensed should be allowed

to mine diamonds.

12. Licensing records should contain the following minimum information: name, address, nationality and/or residence

status and the area of authorised diamond mining activity.

Recommendations for Rough Diamond Buyers, Sellers and Exporters

13. All diamond buyers, sellers, exporters, agents and courier companies involved in carrying rough diamonds should

be registered and licensed by each Participant's relevant authorities.

14. Licensing records should contain the following minimum information: name, address and nationality and/or resi-

dence status.

15. All rough diamond buyers, sellers and exporters should be required by law to keep for a period of five years daily
buying, selling or exporting records listing the names of buying or selling clients, their license number and the
amount and value of diamonds sold, exported or purchased.

16. The information in paragraph 14 above should be entered into a computerised database, to facilitate the presenta-

tion of detailed information relating to the activities of individual rough diamond buyers and sellers.

Recommendations for Export Processes

17. A exporter should submit a rough diamond shipment to the relevant Exporting Authority.

18. The Exporting Authority is encouraged, prior to validating a Certificate, to require an exporter to provide a declara-

tion 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 shipments on a computerised database.

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Recommendations for Import Processes

21. The Importing Authority should receive an e-mail message either before or upon arrival of a rough diamond ship-
ment. 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 shipment to verify the details declared on the

Certificate.

24. Where applicable and when requested, the Importing Authority should send the return slip or import confirmation

coupon to the relevant Exporting Authority.

25. The Importing Authority should record all details of rough diamond shipments on a computerised database.

Recommendations on Shipments to and from Free Trade Zones

26. Shipments of rough diamonds to and from free trade zones should be processed by the designated authorities.

Annex III to ANNEX I

STATISTICS

Recognising that reliable and comparable data on the production and the international trade in rough diamonds are an
essential tool for the effective implementation of the Certification Scheme, and particularly for identifying any irregulari-
ties or anomalies which could indicate that conflict diamonds are entering the legitimate trade, Participants strongly
support the following principles, taking into account the need to protect commercially sensitive information:

(a) to keep and publish within two months of the reference period and in a standardised format, quarterly aggregate
statistics on rough diamond exports and imports, as well as the numbers of certificates validated for export, and of
imported shipments accompanied by Certificates;

(b) to keep and publish statistics on exports and imports, by origin and provenance wherever possible; by carat weight
and value; and under the relevant Harmonised Commodity Description and Coding System (HS) classifications 7102
10; 7102 21; 7102 31;

(c) to keep and publish on a semi-annual basis and within two months of the reference period statistics on rough
diamond production by carat weight and by value. In the event that a Participant is unable to publish these statistics
it should notify the Chair immediately;

(d) to collect and publish these statistics by relying in the first instance on existing national processes and methodolo-

gies;

(e) to make these statistics available to an intergovernmental body or to another appropriate mechanism identified by
the Participants for (1) compilation and publication on a quarterly basis in respect of exports and imports, and (2)
on a semi-annual basis in respect of production. These statistics are to be made available for analysis by interested
parties and by the Participants, individually or collectively, according to such terms of reference as may be estab-
lished by the Participants;

(f) to consider statistical information pertaining to the international trade in and production of rough diamonds at
annual Plenary meetings, with a view to addressing related issues, and to supporting effective implementation of the
Certification Scheme.

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List of participants in the Kimberley Process certification scheme and their duly appointed competent
authorities as referred to in Articles 2, 3, 5, 8, 9, 12, 17, 18, 19 and 20

ANNEX II

List of Member States' competent authorities and their tasks as referred to in Articles 2 and 19

ANNEX III

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ANNEX IV

Community certificate as referred to in Article 2

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 shall bear 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 commercial 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 visible (European blue) and invisible (yellow/green) UV fibres;

— Security Paper: The visible fibres are coloured to match ‘European Blue’;

— UV dull (features in the document stand out clearly when highlighted under a Ultra-violet lamp);

— 100 g/m2 paper.

Printing

— Rainbow background tint (solvent sensitive) (colour definition: pantone blue-rose);

— 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 document.

— Extra Small Print line reading ‘Kimberley Process Certificate’;

— Latent image: KP;

— MELT feature 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 = 6 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 Certificate.
— The printer should also keep a database of all numbering.
— Right hand and left hand number to be aligned horizontally.

— Second = 6 digit sequential invisible printed numbering (matching above) to fluorescent red under UV light (aligned

vertically with top visible numbers).

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Language

English and, where relevant, the language(s) of the Member State concerned.

Lay out and finishing

O bli g a tor y fe a tu r e s

Slot perforated in 1 position, cut to singles A4 size. 1 at 70 mm from R.-edge

(a) left side:

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(b) right side:

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List of diamond organisations implementing the system of warranties and industry self-regulation referred to
in Articles 13 and 17

ANNEX V