At its core, certification refers to a voluntary, mutually beneficial agreement between consumers and producers, guaranteed through a credible third party: consumers agree to limit their consumption to, or especially seek out, products that meet an agreed-upon standard; producers pledge to manufacture or supply their product according to said standard. Compliance is assured through an independent entity. Certification thus can be an instrument to foster compliance to standards, especially in an environment where national governance is weak and where business codes alone may not suffice to provide sufficient assurance for responsible consumers and clients.

Several certification initiatives have emerged in the mineral sector. Many of them are related to artisanal and small-scale mining (ASM), a sector known to struggle with poverty, compliance with ethical standards, as well as lack of governance, while also representing a significant development opportunity and livelihood base in developing countries. The debate on conflict resources is the most prominent, with the example of “blood diamonds” leading to the Kimberley process certification scheme.

With the formulation of the OECD Guidance on responsible supply chains of minerals from conflict-affected and high-risk areas, the implementation framework for certification began to evolve in response to market requirements, in particular for 3T minerals. In the Guidance and its mineral-specific annexes (on 3Ts and gold), conflict risks were defined with a focus on the involvement of illegal armed groups, the worst forms of child labor and forced labor. The consultation process surrounding Guidance development was influenced by the mandatory conflict mineral reporting provisions included in the US Dodd-Frank Act (signed into law in 2010) and the industry response implemented since then. Nowadays, most “conflict mineral” supply chain stakeholders are to demonstrate their management of conflict risks through continuously engaging in the due diligence process. Certification may contribute to this process through institutionalizing certain due diligence aspects, in particular in the fragile ASM sector, though ultimate responsibility refers to individual private sector stakeholders. Further, the downstream complexity of mineral supply chains (derivative products of conflict minerals) makes it almost impossible to cover the whole chain through a single certification approach; instead, segmentation of different initiatives and schemes along integrated supply chains becomes a necessity.

German technical cooperation projects on mineral certification in the Great Lakes Region Source: BGR

In the African Great Lakes region, the increasing focus on certification and due diligence has been formalized through the adoption of the Regional Certification Mechanism (RCM) as a key component of the ICGLR Regional Initiative on Natural Resources, endorsed through the Declaration of Lusaka in 2010. The OECD Due Diligence Guidance forms a direct and cross-cutting reference to the RCM and its (theoretically) mandatory implementation across the ICGLR region.

The Certified Trading Chains (CTC) scheme, developed at BGR and internationally consulted in 2007 and 2008, includes the two objectives of certifying mineral origin as well as ethical production and trade on a voluntary base. In its original form (a revision is currently under discussion) it pre-dates but contributes to the concept of supply chain due diligence. The CTC scheme complements due diligence-focused certification schemes (e.g., the RCM) in providing assurance beyond conflict, that is, in terms of working conditions, environmental management, and community relations, and through generally strengthening supplier relationships along the supply chain.