38 World of Mining Surface Underground 67 2015 No 1Small Scale Mining Zertifizierung im Kleinbergbau im Ostkongo Erfahrungen aus der Auditierung von Tantal Minen Michael Priester Gudrun Franken Germany Dr Michael Priester Projekt consult Gmbh lärchenstraße 12 61118 Bad Vilbel Germany tel 49 0 6101 5097 12 Fax 49 0 6101 5097 29 e mail michael priester projekt consult de Dr GuDrun Franken Bundesanstalt für Geowissenschaften und rohstoffe BGr stilleweg 2 30655 hannover Germany tel 49 0 511 643 2370 Fax 49 0 511 643 3661 e mail gudrun franken bgr de Certification within small scale mining in Eastern Congo Experiences from the auditing of Tantalum mines the Democratic republic of congo Drc is source of a number of mineral resources on which the high tech industry depends especially tin tantalum and tungsten are key commodities most of which is produced by artisanal and small scale producers in stead of contributing to the development of the country Drc is an example for the paradox of plenty leading to a situation where Drc appears on the lowest ranks on human development corruption poverty etc in addition the country is an example for the relation between mineral exploitation and local conflict economies which is fueled by the civil war especially in eastern congo in order to reduce the risk of conflict financing the american Government issued the Dodd Frank act requiring the electronic industry to guarantee conflict free sourcing Due to long and complex trade chains the problem is not limited to Drc only but includes the neighboring countries from the icGlr region these issues are addressed by different certification and due diligence systems which certify the compliance with legal ethi cal and moral standards in exploitation and trade the present article discusses the different focal points of certification and due diligence systems such as transparency of financing corruption extractive industry transparency initiative eiti Publish What You Pay traceability and trade chain ctc code of conduct of the responsible Jewelry council tin supply chain initiative of the international tin research institute and the conflict Free smelter Program social issues csr related initiatives icMM code of Practice and Fairtrade Fairmined and environmental compliance isO 14 000 some of these systems and initiatives are as well focusing on artisanal and small scale mining opera tions Furthermore the systems have different emphases such as on mineral exploitation and processing trade or smelting and refinery in addressing the issues of conflict finance through mineral re sources from artisanal and small scale mining especially from eastern congo Drc enacted a compulsory certification scheme which is guided by the concept of sustainable mining and is fol lowing the general principles of icMM the German technical cooperation is supporting the establishment of the system in the framework of a cooperation program implemented by the Federal institute for Geosciences and natural resources BGr a key ele ment for this support project is the auditing of mining enterprises which shall lead to a broader dissemination of the ctc approach and capacity building of the involved congolese stakeholders such as cocerti sescam DGM etc the certification process itself is divided in four different steps 1 the baseline audit with recommendations for the mining enter prise to update compliance with the 21 standards of the national Drc ctc scheme 2 the implementation of the recommenda tions by the mining enterprise 3 the compliance audit as well as the baseline an independent third party audit and finally 4 the certification by the mandated national Drc authority the audit itself follows the general principles outlined in isO 19 011 and includes interviewing the mine management at headquarters the verification at the mine site the validation by interviews of staff and stakeholders from local communities the auditing of the trade chains and discussions with relevant governmental authorities the findings are documented and compliance with the 21 stand ards evaluated aided by level descriptors given within the Drc ctc system in addition to the compliance of the ctc standards the congruence with the regional certification mechanism of the icGlr has to be analyzed the auditing procedure addresses the aforementioned 21 standards which are structured in five different principles 1 transparency prohibition of support for criminal organizations fight against corruption and fraud refusal to illegal funding of political organizations annual declaration of payments to the state according to the eiti process compliance with the law traceability 2 Decent work conditions abolition of child labor freedom of association and collective bargaining payment of fair wages 3 Development of communities directive on hygiene health and safety at work access to information and education on safety in the mine safety training for a sufficient number of employees respect for human rights safety audit and mine rescue plan 4 safety regular consultations with the interested parties support of local enterprises integral development plan

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