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Transcript of RJC Cert Handbook-091
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ResponsibleJewelleryCouncil
GUIDANCE
Certifcation Handbook
December 2009G001_2009 Certifcation Handbook Version 2
Responsible Jewellery Council
CertifcationHandbook
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XXXX
R e s p o n s i b l e J e w e l l e R y C o U n C i l 2
A
boUTTHisHAnDbooK
The Responsible Jewellery Council
Th R Jr Cuc (RJC) a t-r-rt rgaat udd 2005 th th g
m:
To advance responsible ethical, social and environmental practices,which respect human rights, throughout the diamond and gold jewellery
supply chain, from mine to retail.
About this Handbook
Th Hadk rvd an overview o the Responsible Jewellery Council system and the requirements
or achieving certication.
Th a vg dcumt ad th RJC rrv th rght t rv th Hadk ad mmtat
xrc ad mrgg gd ractc. Th vr td th RJC t urd a thr vr.
T vr th dcumt currt, a vt: .rjr.cm
Disclaimer
n guarat, arrat r rrtat mad a t th accurac r cmt th RJC Certifcation
Handbookad thr dcumt r rmat urc rrcd th RJC Certifcation Handbook. Cmac
th th RJC Certifcation Handbook t tdd t, r d t rac, ctrav r thr atr th
rqurmt a aca ata, tat r ca gvrmta tatut, a, rguat, rdac, r
thr rqurmt.
pa t th RJC Certifcation Handbookgv gra gudac ad hud t rgardd a a cmt
ad authrtatv tatmt th ujct mattr ctad hr.
Cmac th th RJC Certifcation Handbook -mmr tr vutar ad thr tdd t,r d t crat, tah, r rcg a ga rca gat r rght agat th RJC ad/r
t Mmr r gatr. RJC Certifcation Handbookd t crat, tah, r rcg a ga
rca gat th RJC ad/r t Mmr r gatr t -mmr. n-mmr ha hav
ga cau act agat th RJC ad/r t Mmr r gatr r aur t cm th th RJC
Certifcation Handbook.
Inquiries or eedback
Th RJC cm dack th Gudac. pa ctact th R Jr Cuc ma,
th r t:
ema: @rjr.cm
Th: +44 (0)20 7836 6376
Fax: +44 (0)20 7240 5150
R Jr Cuc
Frt Fr
Dud Hu
34-38 suthamt strt
ld
UK wC2e 7HF
UniTeD KinGDoM
The Responsible Jewellery Council is the trading name o the Council or Responsible Jewellery Practices Ltd.The Council or Responsible Jewellery Practices Ltd, First Floor, Dudley House, 34-38 Southampton Street, London,UK, WC2E 7HF. The Council or Responsible Jewellery Practices Ltd is registered in England and Wales with companynumber 05449042.
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 3
Co
n
Ten
TsContents
About this Handbook 2
Disclaimer 2
Inquiries or eedback 2
1. The Responsible Jewellery Council 5
1.1 M 5
1.2 Th u ca r jg th RJC 5
1.3 natur th jr u cha 5
1.4 A cu u ractc, cratg a cmmut cfdc 6
1.5 A cuv arach 6
summar 6
2. Responsible Jewellery Council Certifcation 7
2.1 what R Jr Cuc Crtfcat? 7
2.2 sc Acat 8
2.3 K dcumt ad t 8
2.4 Tm r crtfcat 9
summar 9
3. Roles o the RJC, Members and Auditors 10
3.1 Th RJC 10
3.2 RJC Mmr 10
3.3 Audtr 11
summar 11
4. Auditor Accreditation 12
4.1 ojctv ct crtra r Audtr 12
4.2 Audtr accrdtat rc 12
summar 12
5. Data Confdentiality 13
5.1 RJC Maagmt Tam cfdtat 13
5.2 Audtr cfdtat 13
summar 13
6. Steps to Certifcation 14
6.1 st 1: s Amt Mmr 14
6.1.1 pur 14
6.1.2 Rurc t at 14
6.1.3 Crtfcat sc 14
6.1.4 idtg ad crrctg -crmac 15
6.1.5 skg xtra atac 15
6.1.6 Rqutg vrfcat s Amt 15
summar 15
6.2 st 2: Vrfcat Amt Audtr 15
6.2.1 pur 15
6.2.2 Rurc t at 15
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 4
6.2.3 Vrfcat sc 16
6.2.4 Vrfcat Amt 16
6.2.5 pt-Amt ad rrtg 16
summar 16
6.3 st 3: RJC Crtfcat gratd th RJC 17
summar 17
7. Non-Conformances and Corrective Action 18
7.1 prrmac ratg 18
7.2 Crtca brach 18
7.3 ogat Mmr ad Audtr r n-Crmac 18
summar 20
8. Quality Control Strategies 21
8.1 Quat ctr RJC tm dg 21
8.2 Trag ad urt r Mmr 21
8.3 pr rv audtg quat 21
8.4 Fdack 21
summar 21
9. RJC Complaints Mechanism 22
10. Disciplinary Procedures 23
10.1 Trggr r dcar rcdg 23
10.2 Cfdtat 23
10.3 Dcar rcdur 23
10.4 Dcar utcm 2410.5 Fa aa 24
summar 24
11. External Reporting 25
11.1 RJC Maagmt Tam rrtg 25
11.2 Mmr rrtg 25
12. Review Roadmap 26
12.1 Ctua mrvmt th RJC tm 26
12.2 stadard rv ad dvmt 26
12.3 Authrt r rv 26
12.4 Fdack cm 26
Glossary 27
Co
n
Ten
Ts
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 5
THeResponsibleJewelleRy
CoUnCil
1. The Responsible Jewellery Council
1.1 Mission
Th R Jr Cuc (RJC) a t-r-rt rgaat that ha tahd t rrc
cumr cdc th jr dutr rmtg r thca, huma rght, ca ad
vrmta ractc thrughut th jr u cha. Th RJC ta cu damd ad gd.it atcatd that th c xad t cud thr cmt th jr dutr th utur.
1.2 The business case or joining the RJC
Cumr ar crag ccrd aut th tgrt th rduct th u. Th ccr artcuar
mrtat r th jr dutr, a jr urcha ar hgh dcrtar ad hav a trg mta
cct. it th t trt u th jr ctr t ur that th, ad tur th
cumr, ca hav cdc th tgrt th rduct th u ad .
Th RJC ha dvd a cmm atrm tadard r th jr u cha ad crd mcham
r vrg r u ractc thrugh thrd art audtg. bu that j th RJC ad
dmtrat that thr u ractc crm t RJC cmm t tadard r ractc
hav th t rcgt agat a trata crtcat tm.
Crtcat udr th RJC tm t h Mmr t urt thr rutat, ut a th
rutat th ur ad cutmr th hch th d u. Th cmmtmt h crat ad
rrc u artrh, rduc cmmrca rk, ad rvd a udat cdc r utaa
grth.
1.3 Nature o the jewellery supply chain
Th u cha r th jr dutr cmx ad ragmtd. Ra matra ma cm rm ma
drt t m ma drt cutr; th ma d vra tm, mxd, ad cvrtd t
rduct r g d t th d cumr.
Th dagram utrat th ac tag th u cha ad th ma urtg rgaat.
Figure 1 - Diamond and gold jewellery supply chain
Gold
Diamonds Small scale
mining
Laboratory-grown
diamonds
Cutting and Polishing
Large scale
miningRough
trading
Product
manuacturing
Trading
Retail
Wholesale
Polished
trading
Trade Associations
Small scale mining Smelting
Recycling
Large scale mining Rening
Financial Institutions and other Service Companies
Geographies: Worldwide industry & business
Diversity: Micro/amily entities to very large corporations
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 6
1.4 A ocus on business practices, creating a community o condence
Th RJC cu curagg r u ractc t d a ma u ad
rgaat that rat th th jr u cha a . A rad trk mmrh
h t crat a cmmut cdc th th dutr. bu-t-u rath, ad
cdc th u ractc Mmr, ca th f thrugh t hac cumr cdc.
wh th RJC d t k t crt dvdua jr cmt, RJC crtcat Mmr rvat
u ca rvd thm th crd vdc t urt thr cha--cutd tatv. wrk a
audta RJC cha--cutd tadard g 2010. Th am t rvd thrd art aurac
Mmr dvdua tm r cha cutd.
1.5 An inclusive approach
Th RJC arach cuv, t xcuv. Th Cuc xtd th rtut mmrh thrughut th
dutr, cudg arg ad ma u, at a v th u cha ad t rgaat that rvd
rvc t th jr dutr. i addt, Mmr ar curagd t rmt th adt r
u ractc amgt thr u artr.
Th RJC arcat that ma Mmr ar gagd th a rag tadard ad tatv ratg t uractc. it atcatd that th crat a trata crtcat tm r u th jr
u cha a a tramg aurac that hud h t rduc ucar ducat.
Summary
Th RJC cud r ractc thca, huma rght, ca ad vrmta th
damd ad/r gd jr u cha.
Th u ca r mmrh th RJC, ad crtcat udr t tm, ad rutat
ad cumr cdc.
A rad trk crtd Mmr thrugh th jr u cha, ach th r u
ractc ddt vrd agat a trata tadard, h t crat a cmmut
cdc r th dutr.
RJC Mmrh t a u artcatg th damd ad gd jr u cha
ma t arg, mg t rta.
THeResponsibleJewelleRy
CoUnCil
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 7
RJC
CeRTiFiCATion
2. Responsible Jewellery Council Certication
2.1 What is Responsible Jewellery Council Certication?
T dvr agat t M, th RJC ha dvd a tm r R Jr Cuc (RJC) Crtcat.
A crtcat tm ha ur mrtat mt:
A t vutar1. tadard a ut th cc rqurmt th tm;
iddt, thrd art2. audtr ar accrdtd a cmtt t vauat crmac agat th tadard;
Vrcat3. accrdtd audtr rvd ojctv evdc that th rqurmt th tadard hav
ud;
A4. dc crtcat tak th a th rut vrcat.
Figure 2 Elements o a certifcation system
[Adatd rm iseAl emrgg itatv Mdu 1 (2008)]
Crtcat udr th RJC tm ad th Cd practc (Cop) a th tadard. Th Cop d
r ractc r u thc, huma rght, ca, ad vrmta u. Th rv th Cop
hav tahd thrugh rrc t ata ad trata a, tahd trata ad dutr
tadard, ad ud u ractc.
Th RJC tm rqur Mmr t udrg ddt thrd art vrcat (a k a audtg)
accrdtd audtr. Fr vrcat, audtr k ojctv evdc that a Mmr u ractc u
th rqurmt th tadard. Th dc hthr t grat RJC crtcat th mad th RJC
Maagmt Tam, actg a rma rcmmdat th audtr.
Crtd Mmr acatd a uqu RJC Crtcat dtcat umr. Th RJC mata a
uc avaa t Crtd Mmr ad th crtcat dta t t.
Figure 3 RJC Certifcation elements
StandardAuditor
accreditationVerication
Certication
Decision
Code of Practices
Additional supplements to be incorporated, for example Mining
Supplement incorporated in 2009
Accreditation by the RJC of qualied, experienced and competent
audiors who have been trained in the RJC System
Accredited auditors conduct site visit(s) and carry out a verication
audit o a Members perormance against the Code o Practices
Auditor makes a formal recommendation to the RJC for or against
certication based on verication ndings;
RJC grants certication based on auditors recommendation.
Standard
Auditoraccreditation
Verication
CerticationDecision
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 8
T drv th achvmt crmac Mmr, th RJC tm tah mcham r ar
dtcat u, crrctv act ad ctua mrvmt. it a rvd r dcar rcdg
ad utmat act agat a Mmr, hr uch act ar raa ad rrtat a th
crcumtac.
2.2 Scope o Application
Th RJC tm dgd t a t a ctr th damd ad/r gd jr u cha, rmmg thrugh t rta.
it a cdt RJC mmrh that Cmmrca Mmr udrg th rc tag RJC Crtcat
cvrg a thr rvat Fact. Cmmrca Mmr ar (r mr) th g ctr:
Gd ad/r damd rducr (cudg gd ad damd mg ad aratr-gr damd
rduct);
Gd tradr, hdgr r rr;
Damd tradr ad/r cuttr ad hr;
Gd ad/r damd jr mauacturr;
Gd ad/r damd jr har;
Gd ad/r damd jr rtar;
srvc dutr, cudg gd ad/r damd aar ad aratr.
2.3 Key documents and tools
Th RJC tm u th g hrarch k dcumt, t ad tmat.
Figure 4 RJC systems document hierarchy
Th RJC tm cr dcumt that t th th hrarch ar h Fgur 5. Th ar th ta
dcumt that hav dvd t a Mmr t udrtad ad mmt th RJC tm. Th
hav dgd th a am t accmmdat th varu z ad t rgaata tructur hch
mak u th RJC mmrh.
Furthr urtg matra t at Mmr a dvd r cc ctr, jurdct ad u,
a rqurd. Mmr advd h matra ar mad avaa, ad hud chck th RJC t
r udat.
RJC
CeRTiFiCATion
GUIDANCE
STANDARDS
MISSION
FORMS AND TOOLKITS
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 9
Figure 5 Core system documents available at www.responsiblejewellery.com
2.4 Timelines or certication
Th tm r RJC Mmr t achv crtcat udr th RJC stm ar a :
Membership type Certication timelines
RJC Mmr thut Mg Fact h jd rrt 31t Dcmr 2009
31t Dcmr 2011.
RJC Mmr th Mg Fact h jd rr t31t Dcmr 2009
31t Dcmr 2012.
n Mmr jg th RJC atr 31t Dcmr 2009 T ar rm th d th mth acat.
Dcar rcdg ma cmmcd agat Mmr h d t mt th tmta.
Atr a Mmr ha cm RJC crtd r th rt tm, th gg rquc vrcat amt r
r-crtcat vr 3 ar. Th datd rm th RJC Maagmt Tam rct th rvuCrtcat Rcmmdat. iddt vrcat ctud crmac, th rguar 3 ar a,
rqurd t mata Crtd Mmr tatu.
Fr th augura mmtat th RJC tm, thr a -ar crtcat t. Crtcat
vad r ar ca gratd t Mmr h dv a agrd cmac radma r Majr n-
crmac ud Audtr ( ct 7). At th d th -ar crtcat rd, Mmr
rqurd t udrg athr vrcat amt t vr rgr tard cmac.
Crtd Mmr ar rqurd t udat thr s Amt h thr a udamta chag t thr
u.
Summary
Th RJC crtcat tm cmr: a tadard (th Cd practc); audtr accrdtd a cmtt
t a agat th tadard; ddt vrcat Mmr u ractc agat th tadard;
ad a crtcat dc ad th audtr rcmmdat.
RJC Mmr h hav ddt vrd a g crmat th th Cd practc udr
th RJC tm cm Crtd Mmr.
RJC Mmr thut Mg Fact h jd rr t 31 t Dcmr 2009 ar rqurd t udrg
ddt vrcat Dcmr 2011.
RJC Mmr th Mg Fact h jd rr t 31 t Dcmr 2009 ar rqurd t udrg
ddt vrcat 31t Dcmr 2012.
Cma that cm RJC Mmr atr 31 t Dcmr 2009 rqurd t udrg ddt
vrcat th 2 ar th d th mth acat.
R-crtcat rqurd atr 3 ar, r atr 1 ar thr ar a Majr n-crmac
(r th augura rd RJC stm mmtat).
RJC
CeRTiFiCATion
Fundamental ethical, social, human rights and environmental principles to which Memberscommit; and
A set of standards that are applicable to all businesses that are Members of the RJC, throughthe diamond and gold jewellery supply chain, rom mine to retail.
Introduction and guidance on each of the standards of the Code of Practices.
Overview of the RJC System and the requirements for achieving certication (this document)
Assessment Manual (for Members and Auditors) Assessment Questions (used by Members and Auditors) Self Assessment Workbook (used by Members)
Statement o Principlesand Code o Practices
Standards Guidance
RJC CerticationHandbook
Assessment Tools
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 1 0
RolesoFTHeRJC,MeM
beRsAnD
AUDiToRs
3. Roles o the RJC, Members and Auditors
Th RJC, Mmr ad Audtr a hav mrtat r t a mmtg th RJC tm.
3.1 The RJC
Th RJC r cud:
Rvg ad udatg th RJC tm t k t currt ad rvat t th d Mmr ad
takhdr;
surtg ad vrg th quat, tgrt ad crdt s Amt ad thrd art vrcat;
Accrdtg thrd art audtr t cduct Vrcat Amt;
Crtg Mmr a crmg t th Cd practc ad tg thm a uch th RJC t;
puc rrtg th aggrgat rgr Mmr mmtg th RJC tm RJC Aua
Mmrh Rrt;
budg aar th RJC vau rt thrugh gagmt th dutr ad thr takhdr.
nt that th RJC thr act a audtr r udrtak vrcat Mmr t rght.
3.2 RJC MembersMmr r cud:
oratg thr u, ett ad Fact accrdac th th RJC tm;
egagg a accrdtd audtr() t cduct thr Vrcat Amt;
immtg crrctv act r mrvmt a, a arrat, t achv crmac ad ctua
mrvmt.
prmtg r u ractc thr damd ad gd jr u cha.
nt that a Mmr mut u th r t mata thr tatu a a Mmr gd tadg th RJC.
it rcmmdd that Mmr dgat a RJC C-rdatr r th ur s Amt ad
Vrcat. Th C-rdatr r cud cud vrg th g:
Cmtg ad/r dgatg th Mmr s Amt;
bg a ctra t ctact ad urt r qut, crrat dcumtat ad a tra tatd
crrctv act udrtak advac vrcat;
C-rdatg th gagmt th Audtr/, c th Mmr s Amt cmt;
Atg th Audtr/ th addta rmat, ctact at Fact r vrcat vt, ad chdug
ad gtc, a rqurd;
lag th th RJC Maagmt Tam rgr, a rqurd.
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 11
3.3 Auditors
Audtr mut accrdtd t carr ut amt udr th RJC tm ( ct 4). Th Audtr/
r cud:
Cductg a Vrcat Amt, hch vv:
A rmar dkt rv th Mmr s Amt ad thr ratd rmat;
sct a rrtatv t th Mmr Fact ad ractc t vt ad a;
Vrcat th Mmr s Amt thrugh -t rv at th ctd am Fact.
idtg -crmac hch rqur crrctv act ad carrg ut -u rv rgr
agat mt, rqurd;
prarg Vrcat Rrt t th Mmr ad th RJC Maagmt Tam, cudg a rcmmdat
hthr Crtcat hud gratd.
Th Audtr h carr ut vrcat r a Mmr cat adv r at that Mmr s Amt,
a th ud a cfct trt.
nt that th Audtr ga rath th th Mmr that ha gagd thm r t vrcat
rc, t th th RJC.
SummaryTh RJC r r ratg ad udatg th RJC tm.
Mmr ar r r ratg thr u crmac th th RJC tm.
Mmr hud mat a RJC c-rdatr t a th audtr ad th RJC Maagmt Tam.
Audtr ar r r vrg hthr Mmr u ractc ar crmac th th
Cd practc ad makg a rcmmdat crtcat.
RolesoFTHeRJC,MeM
beRsAnD
AUDiToRs
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 1 2
AUD
iToR
ACCReDiTATion
4. Auditor Accreditation
Th crdt RJC Crtcat hg th quat ad ddc th thrd art Audtr.
it ta that th RJC ca at t that Audtr hav arrat xrc ad xrt ad that
thr cfct trt h udrtakg vrcat r dvdua Mmr.
Th RJC ha t jctv ct crtra r audtr t dmd cmtt t carr ut vrcatudr th RJC tm. A tm audtr accrdtat ha tahd ad dta ar avaa th RJC
t.
4.1 Objective selection criteria for Auditors
A lad Audtr r r udrtakg vrcat a Mmr crmac th th Cd practc.
Ddg th z ad atur th Mmr u, a tam t r mr audtr ma rqurd.
i th ca, addta audtr rkg udr th drct a lad Audtr ud ctrut t th vrcat
rc.
Th z ad cmt a audtg tam fucd a umr actr cudg th:
Vrcat sc;
Avaat quad Audtr;
Ggrahc cat th Mmr;
Rqurmt r cat kdg;
laguag cdrat;
Cutura cdrat, cudg gdr;
Cutr r rga ca amart.
4.2 Auditor accreditation process
A audtr accrdtat tm ha tahd th RJC. i addt t mtg th ct crtra r
cmtc, rctv audtr d t udrtak addta trag th RJC tm t cm
accrdtd.
Th audtr r audtg rgaat that mt th ct crtra r cmtc, ad hav trad
th RJC tm, addd t a uc avaa t Accrdtd Audtr. Mmr th a t
ct accrdtd audtr r audtg rgaat rm th t ad ctract thr rvc accrdg t cat
ad avaat.
Audtr t rqurd t dcumt thr crdta thr Vrcat Rrt ad crm that th hav
cfct trt carrg ut vrcat r that Mmr.
i thr ar a qut ratg t th ct r avaat Audtr, ctact th RJC Maagmt Tam
r gudac.
Summary
Audtr mut ddt thrd art th cfct trt.
Th z ad atur a Mmr u dtrm hthr lad Audtr, r a tam t r
mr Audtr, dd.
Audtr accrdtat rqur mtg ct crtra r cmtc ad udrtakg addta
trag th RJC tm.
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5. Data Condentiality
5.1 RJC Management Team condentiality
Th cdtat Mmr cmmrca tv rmat udamta t th dg th RJC
tm. exam cmmrca tv rmat ar ctad th RJC Attrut pc statmt
(avaa th RJC t).
Th RJC Maagmt Tam acc rmat aut Mmr ad thr Fact rvdd :
A acat r th ur cmg a Mmr;
A tcat a Mmr a Crtca brach dtd durg th s Amt ( ct 7.3);
Th Audtr Crtcat Rcmmdat ad summar Rrt ( ct 6.2.5).
A uch rmat matad cur th RJC Maagmt Tam ad t xchagd r
dmatd t a thrd art.
Hvr hr th utcm th Crtcat Rcmmdat tv, a uc tg th Mmr
mad crmg that th Mmr ha achvd Crtd Mmr tatu ad th trm th crtcat
vadt ( ct 6.3).
Aggrgat rmat rgr th th RJC tm, ad hch d t dt dvdua Mmr,
uc cmmucatd Aua Mmrh Rrt.
5.2 Auditor condentiality
Audtr ma hav acc t cdta r cmmrca tv rmat durg th cur thr dkt
ad -t vrcat. it tr at Mmr dcrt hthr t rqur that thr ch Audtr tr
t cdtat agrmt t rvt dcur uch rmat t thrd art. Cdtat
agrmt ar cmm ractc r thrd art vrcat ad audtg.
Summary
Th RJC rcv vr mtd rmat aut a Mmr th Crtcat Rcmmdat.
A cmmrca tv rmat kt trct cdta th th RJC Maagmt Tam.
Th Crtd Mmr tatu uc dcd.
Mmr hud cdr rqurg Audtr t tr t cdtat agrmt.
DATA
ConFiDenTiAliTy
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 1 4
sTepsTo
CeRTiFiCATion
6. Steps to Certication
Durg 2009-2012, th RJC tm mmtd Mmr r th rt tm. Thr ar thr ma t
r th augura crtcat rc, ummard th dagram .
Figure 6 Steps to Certifcation
i gra, Mmr hav t ar t carr ut t 1 ad 2 ( ct 2.4). Th g ct rvd
a vrv th ma actvt ad rurc ud ach th thr t. Addta gudac ad cc
truct h t cmt ach t ar ctad th Amt Maua.
6.1 Step 1: Sel Assessment by Members
6.1.1 Purpose
i th rt t, Mmr carr ut a s Amt thr rgaat ad t Fact. Thr ar thr
ur t th s Amt:
Fr Mmr t d th Crtcat sc, dtg th art thr u that actv
ctrut t th damd ad/r gd jr u cha;
Fr Mmr t rv thr u ractc agat th rqurmt th Cd practc. Th rvd
th rtut t dt a ga r ara -crmac ad addr thm advac th
Vrcat Amt;
Fr Mmr t am th rvat rmat t a th Audtr/ t rk ct ad ctv.
6.1.2 Resources to assistTh g rurc ar avaa th RJC t t at Mmr th th t:
s Amt wrkk : rmt Mmr t gathr ad rvd rvat rmat t rvd t th
Audtr/, ad cud a qutar t tah crmac agat th Cd practc. nt that
Mmr ma u thr rmat r amg th rmat rqurd r th s Amt;
Amt Maua : cta truct h t cmt a s Amt ad rar a crrctv
act a;
stadard Gudac : uggt maagmt arach r ach ara th Cd practc.
6.1.3 Certication Scope
Th Crtcat sc dd Mmr. it mut cvr a Fact ad actvt that ar:
od r ctrd Mmr; ad
Actv ctrut t th damd ad/r gd jr u cha.
Fr th rt s ad Vrcat Amt, rcrd ad vdc rm th rvu 12 mth rqurd.
Rcrd ud tard crtcat hud th kt r a mmum 3 ar (th crtcat vadt) r
gr a rqurd Aca la.
Mmr th Mg Fact hud t th g:
Fact th xrat t r-cmmd tag th m cc ar t vtd a art th
Vrcat Amt. bu ractc th tag th m cc ca vdcd, hr
car ad arrat, dkt rv c, tm, rcdur ad rc.
A Mg Fact xcudd rm RJC Crtcat rvr tag da ud at that Fact. Hvr a
thr Cop rv a at that Fact ad t ca cudd th Vrcat sc.
A Mg Fact t cudd th Crtcat sc thr aa Damd r Gd, r xam
hr Gd a trac mt mra cctrat, rc -rduct, r at.
STEP 1 MEMBERS
SelAssessment
STEP 2 AUDITORS
VericationAssessment
STEP 3 RJC
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A Mg Fact rducg mut cmmdt r rduct, cudg Damd ad/r Gd, ca
xcudd rm th Crtcat sc thr a ara crtcat tm aca t thr cmmdt
rducd th Mg Fact that vauatd th RJC t tchca quvat t th RJC tm.
6.1.4 Identiying and correcting non-conormances
Durg th s Amt rc, a Mmr ma dt -crmac ( sct 7). Th Mmr
hud u th tm avaa t thm t addr th, r mak thm th cu a tra crrctv acta, r ag thr s Amt ad cmmg a vrcat amt.
Crtca brach mut addrd rr t cmmg th Vrcat Amt, a dcar
rcdg cmmc th ar dtd th audtr ( ct 10).
othr -crmac d t car d t cmt rvd r audtg. Hvr Mmr
ar curagd t d hr , r vdc (uch a a crrctv act a, sct 7.3) hud
avaa t h audtr hat act g udrtak.
6.1.5 Seeking external assistance
Mmr h ack th caact, rurc r cdc t cmt thr s Amt ca cdr kg
th atac a cmtt cutat r advr. Mmr ma a ch t k xtra atac t
a tta rm ad dt ut at th tag. Th RJC Maagmt Tam ca rvd gra
advc th rm gudac ad rurc avaa t a Mmr, cau t r gratg crtcat.
nt that a r (cudg r, xtra cutat r advr) vvd th s Amt cat
a Audtr r th Vrcat Amt, a th rrt a cfct trt.
6.1.6 Requesting verication o Sel Assessment
wh th Mmr dm t rad t ddt vrd r crtcat, r mr accrdtd
Audtr hud atd. whr thr tadard ar t audtd at a Mmr ad/r Fact, rgag
RJC tm vrcat t ccur ccurrt ma rduc ducat ad ct. Mmr hud umt thr
s Amt t thr ch audtr/ ad rqut a Vrcat Amt.
s Amt hud noT umttd t th RJC Maagmt Tam. Hvr Mmr ar vtd t
adv th RJC h thr s Amt cmt ad audtr hav atd.
Summary
Mmr mut cmt a s Amt t rar r th vrcat t.
U t a a rtut t dt ad crrct ara -crmac r th audtr arrv.
nt that a cutat r advr vvd th s Amt cat a Audtr r that Mmr a
th rrt a cfct trt.
D t umt s Amt t th RJC Maagmt Tam.
6.2 Step 2: Verication Assessment by Auditors
6.2.1 Purpose
i th cd t, accrdtd ddt thrd-art audtr/ cduct a Vrcat Amt. Th ur vrcat t vr r chck a Mmr amt rrmac thr s Amt.
Th Vrcat Amt thu cmr th g:
A rmar dkt rv th Mmr cmtd s Amt ad thr ratd rmat;
sct a rrtatv t th Mmr Fact ad ractc t vt ad a, that rrtatv
th atur, ca ad mact th Mmr u th Vrcat sc;
Vrcat th Mmr s Amt thrugh -t rv th ctd ractc ad Fact
th th Vrcat sc.
6.2.2 Resources to assist
i addt t th Mmr s Amt, th g rurc ar avaa th RJC t t at
audtr th th t:
Amt Maua : truct h t cduct a Vrcat Amt, cudg tmat r audt
ag ad rrt rarat;
stadard Gudac : ctag gra gudac ach ara th Cd practc.
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6.2.3 Verication Scope
Th lad Audtr d th Vrcat sc. it mut dtrmd a t:
Achv th jctv tahg uct cdc t mak a rcmmdat Crtcat;
Tak accut rk ad rvac ug avaa rmat, cudg th Mmr s Amt,
uc rrt, gatv ramrk, rvu amt rrt ad xtg crtcat;
Ft th th RJC tm rcmmdd tm mt r th z, cmxt ad cat th u
(r a thr gtatd);
b dcumtd a Vrcat pa dtag hch rv ar t ad at hch Fact.
6.2.4 Verication Assessment
Th lad Audtr a th th Mmr th Vrcat pa, chdug ad a rmat r
dcumtat rqurd advac. whr a tam t r mr audtr rqurd, th lad Audtr
ct cmtt ad accrdtd audtr t rk udr h/hr drct.
Th t actvt th Vrcat Amt vv m r a th g:
og mtg;
Amt hch vv:
otag ojctv evdc;
itrvg (tg, qutg, rvg);
nt & rcrd takg.
evauat th rut;
Cg r ext Mtg.
6.2.5 Post-Assessment and reporting
Th Vrcat Amt u th am t qut ad rrmac ratg a th s Amt
Qutar. Durg th vrcat rc, th audtr ma dt -crmac ( sct 7).
Mmr d t adquat addr a Majr -crmac beore th lad Audtr ca rcmmd
thm r Crtcat.
Atr cmtg a -t actvt, lad Audtr crdat th cat a dg ad rmat.Th th rar rrt r th Mmr ad th RJC Maagmt Tam:
Mmr Vrcat Rrt : a cmrhv rrt t th Mmr, cudg th c, cvrag, ad
dtad amt th Mmr crmac th th rvat rv th RJC Cd practc,
th ctv th Mmr ractc, ad ccu ad rcmmdat;
Crtcat Rcmmdat ad summar Rrt : a ummar rrt that cud th crtcat ad
vrcat c, a ummar dg, ad a rcmmdat hthr th RJC Maagmt Tam
hud grat crtcat t th Mmr.
A uggtd ta ctt ad addta gudac r th rrt rvdd th Amt Maua.
Th Crtcat Rcmmdat ad summar Rrt t th RJC Maagmt Tam mut th egh
aguag.
Summary
Accrdtd ad ddt audtr vr th Mmr s Amt.
Th Vrcat Amt cmr dkt ad -t rv.
lad Audtr dcd th c th amt ad dra u a audt a. Th umr Amt
r-da rqurd ad th z, cmxt ad cat th Mmr u. Th cc
u ractc ad Fact t audt ar ctd th a th atur, ca ad mact th
Mmr actvt.
lad Audtr rar a cmrhv rrt t th Mmr, ad a ummar rrt t th RJC
Maagmt Tam that cud a vra rcmmdat rgardg crtcat.
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6.3 Step 3: RJC Certication granted by the RJC
o rct th Crtcat Rcmmdat ad summar Rrt, th RJC Maagmt Tam tat th
Mmr Crtcat rc. Crtcat gratd t a Mmr a a h, cvrg a Fact th th
Crtcat sc (th th xct Mg Fact ug rvr tag da). Crtcat t
gratd t dvdua Fact.
st carrd ut RJC th Mmr Crtcat rc cud t:
Crm th cmtc th Audtr() agat th accrdtd audtr rgtr;
Crm that th Mmr RJC mmrh gd tadg a rct;
Rv th summar Rrt ad crm that th dg ar ctt th th truct t audtr th
Amt Maua;
Dcumt th trm th Crtcat vadt, cudg th am ad ggrahc cat/ th crtd
Mmr, th dat Crtcat cm ctv ad xr, ad hc h r-amt du; ad th
tadard dcumt (cudg u umr ad/r rv) ud r th amt.
iu rma dcumtat ad rmat t th Mmr, cudg a uqu Crtcat dtcat
umr uamguu dtg th Crtcat tatu, ad th cc cdt r u th RJC g
ad ratd tctua rrt;
Rcrd th Mmr crtcat tatu th RJC t.
imartat a mrtat rc th gratg RJC crtcat. ptta cfct trt that cud
thrat martat caru mtrd ad maagd th RJC Maagmt Tam ad acatd RJC
Cmmtt.
Summary
Th RJC Maagmt Tam r r gratg crtcat t Mmr, ad th accrdtd
audtr rcmmdat.
prcdur r th rv ad act audtr rcmmdat hav dvd.
Crtcat gratd t a Mmr a a h, cvrg a Fact th th Crtcat sc.
Crtcat t gratd t dvdua Fact.
Crtd Mmr ud th rma dcumtat ad rmat thr crtcat tatu,
t ad cdt u, ad thr crtd tatu rcrdd th RJC t.
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7. Non-Conormances and Corrective Action
7.1 Perormance ratings
Th s Amt ad Vrcat Amt th u th g rrmac ratg:
Crmac;
Mr n-Crmac;
Majr n-Crmac;
nt Aca.
A nt Aca ratg ca acatd h a rqurmt th Cd practc t aca ad
th atur, ca ad mact th Mmr u actvt, rduct ad/r rvc. A crd ad vra
xaat mut cudd Amt t jut a nt Aca tatu.
Th rrmac ratg ar dd th Gar at th d th Hadk. Mr rmat ca ud
thAssessment Manual.
7.2 Critical Breach
A Crtca brach a tuat Majr n-Crmac a Mmr dmd t crtca t th tgrt th RJC tm. Th g rv hav cad a Crtca brach rv:
RJC Code o Practice Critical Provisions
1.3 Kmr prc 1.3.1, 1.3.2, 1.3.3. 1.3.4
1.5 prduct itgrt 1.5.1, 1.5.2, 1.5.3, 1.5.4, 1.5.5, 1.5.6, 1.5.7, 1.5.8
2.2 Chd laur ad yug pr 2.2.1, 2.2.3, 2.2.4
2.3 Frcd laur 2.3.1
2.6 Hath ad sat 2.6.5
2.7 Dc ad Grvac prcdur 2.7.1
3.2 Hazardu sutac 3.2.1
3.3 wat 3.3.1
Crtca brach rv ar uqu dtd th Amt Qut ug underline italics t ac.
shud th rv ratd a a Majr n-crmac, th th cttut a Crtca brach
agat th Cd practc.
7.3 Obligations of Members and Auditors for Non-Conformances
Th g ta dcr th gat that Mmr ad Audtr hav rat t -u act
rqurd r -crmac dtd durg a s Amt r a Vrcat Amt.
non-ConFoRMAnCesAnD
CoRReCTiVeACTion
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non-ConFoRMAnCesAnD
CoRReCTiVeACTion
Obligations of Members and Auditors Based on the Findings of the Assessment Process
PerormanceRating
Sel Assessment Verication Assessment
Crtca brach Members have an obligation toimmediately report Critical Breachesto the RJC Management Team.
Mmr mut ca ad/r mmdatra th actvt ut th Crtca brach rctd. Th RJC ca drct th Mmr
t rurc that ma at th crrctvact.
The Council needs to be kept abreasto progress and will only initiatedisciplinary action i the Member doesnot implement the changes necessaryto rectiy the critical breach.
The Auditor shall immediatelycommunicate all Critical Breaches tothe RJC Management Team.
Disciplinary proceedings against theMember will commence. This may resultin temporary or permanent loss omembership o the RJC.
Majr n-Crmac
Mmr hud rar adquatcrrctv ad/r rvtv act ad
dcumt th a Crrctv Actpa.
Mmr mut mmt th act a tm mar ad vauat thr
ctv rr t a VrcatAmt. evdc act t addrMajr n-Crmac hud
avaa r rv th Audtr durga Vrcat Amt.
Mmr must rar adquat crrctvad/r rvtv act ad dcumt
th a Crrctv Act pa.
Th Mmr hud th rard th
Crrctv Act pa t th lad Audtrth 1 mth th VrcatAmt, r a thr agrd.
The Auditor cannot recommend theMember or Certication until all MajorNon-Conormances have beenadequately addressed or captured ina Corrective Action Plan that is approvedby a Lead Auditor.
Certication, i granted with MajorNon-Conormance/s, is valid or 1 yearrom the date o the assessment.
prr t th xr th 1 ar crtcat, a-u amt hud ccur t crm
that th Mmr ha thr addrd thara Majr n-Crmac, r thatrgr tard th mmtat th
act udra. whr arrat,th Audtr ma agr that th Mmr cadatch th car vdc t th
Audtr thr ma uch a ctrcar va rmt crc. Th ctv mmtd act mut vauatd.
Mr n-Crmac
Mmr hud rar adquatcrrctv ad/r rvtv act addcumt th a Crrctv Actpa.
Mr n-Crmac d t d t
cmt rvd r a VrcatAmt, ut vdc hud avaa th crrctv act gudrtak. Th ctv
mmtd act mut vauatd Mmr.
Mmr must rar adquat crrctvad/r rvtv act ad dcumtth a Crrctv Act pa.
Crrctv ad rvtv act addrgMr n-Crmac mut cmtdth th 3 ar Crtcat rd.
Act a ma rvd th Audtr
durg uqut vt ad/r VrcatAmt r r-crtcat.
Certication, i granted with MinorNon-Conormances, is valid or 3 yearsrom the date o the assessment.
Fgur 7 ummar th av ta trm thr tta utcm a Vrcat Amt.
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Figure 7 Potential outcomes o Verifcation Assessment
Fr mr rmat dcar rcdur ct 10.
Summary
Mmr ad Audtr hav a gat t mmdat rrt Crtca brach t th RJC Maagmt
Tam. i Crtca brach ar rrtd a Mmr, RJC ca drct th Mmr t rurc that ma at
ad mtr rgr crrctv act. i Crtca brach ar dtd a Audtr, dcar
rcdg ar trggrd.
Mmr th Majr n-Crmac ca rcmmdd r crtcat r a 3 ar rd.
Mmr ud t hav Majr n-Crmac ca rcmmdd r crtcat r a 1 ar
rd, th crrctv act a arvd th audtr.
n-Crmac ud a Vrcat Amt mut addrd th that Crtcat rd.
non-ConFoRMAnCesAnD
CoRReCTiVeACTion
Conormance
3 yar Crtcat.
MajorNon-Conormance
1 ar Crtcat th aCrrctv Act pa
arvd th Audtrt addr th Majr
n-Crmac.
Critical Breach
Dcar rcdurma cmmc.
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8. Quality Control Strategies
8.1 Quality control in RJC system design
Amt ad audtg actvt takg ac ma drt cutr ad u acr th u
cha, a rag drt Mmr ad Audtr. Rvat trag, urt ad quat ctr maur
crtca r th crdt th RJC tm. A th a tm, attt d t ad t udg acmm udrtadg ad trrtat amg Mmr ad Audtr.
Th RJC tm u tadardd rm r ag ad vrg crmac, rvd addta gudac
trrtg th tadard, ad rqur rma trag ad accrdtat audtr t maxm ctc.
Trag ad urt r Mmr, ad r rv audtg quat ar addta maur t
mmtd r quat ctr.
8.2 Training and support or Members
T at Mmr th mmtat th RJC tm, th RJC rvd -ad dvr
rmat rurc ad trag. Th a Mmr t ar urthr aut th tm ad thr
rt, a a cc tc trt, at thr tm ad ac. Th RJC a rm Mmr
xtra rtut r thr ta t udrtak gra trag maagmt tm, audtg, k tc
ad ratd crtcat tm.
whr dd, th RJC ma a rga rmat ad rkh t at Mmr. Th ma
ud t dvr trag th u th Amt T, k carcat th c th amt,
ad ra u r gra dcu ad/r RJC Maagmt Tam r.
Th RJC a vtgat rtut r Mmr t har t ractc ca tud ad thr rm r
urt. Th ma urtd th RJC ad/r dvdua trad acat, ad ma cud rkh,
mar, mad r, tr-Mmr urt ad addta rurc.
i thr ar a qut rgardg th crtcat rc, ctact th RJC Maagmt Tam r gudac.
8.3 Peer reviews o auditing quality
Th RJC a t rma a audtg quat ad ctc ad dt hr th vrcat rc
d urthr mrvmt r urt. T th d, a ddt pr Rv a am th audtg
carrd ut udr th RJC tm cmmd. Th cmmc c a uct umr
vrcat amt hav carrd ut t a magu cmar.
Th rv cmr, ujct t dvdua Mmr agrmt r acc, dkt vauat a am
cmtd amt acr th u cha ad th r rvr/ artcat a am t r mr
act vt a a rvr. Th RJC ctu t cmm rguar ddt r rv audtg
quat ad audtr trag a art t gg quat ctr. Cdtat Mmr rmat
matad.
A ccr aut th quat audtg ca rad at a tm th th RJC Maagmt Tam ad
gv du cdrat.
8.4 Feedback sessions
Fdack ar a ad t rvd a rtut r audtr ad Mmr t har xrc
mmtg th RJC tm ad dt rtut r t mrvmt. i addt t a drct dack
arad rcvd th RJC Maagmt Tam, th rvd crtca ut t mrvg gudac
ad rc.
Summary
Quat ctr maur hav a mrtat cdrat th dg th RJC tm.
Trag rkh ad addta rurc mad avaa t Mmr t amar
thm th th RJC tm.
pr rv audtg quat cmmd.
Fdack rm ur ad rv ud t mrv gudac matra ad rc r th RJC
tm.
QUAliTy
ConTRolsTRATeGies
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9. RJC Complaints Mechanism
Th RJC am t da far ad jctv th cmat, cudg ut t mtd t th ratg t tta
-cfrmac th th RJC tm.
whr cmat ar, t a cdt f artcat RJC actvt fr RJC Mmr ad Accrdtd Audtr
t umt t th RJC Cmat Mcham, ad t ud th dc f th RJC. Hvr th d trac r mt acc t judca rmd.
ifrmat th RJC Cmat Mcham uhd arat t th Hadk.RJC
CoM
plAinTs
M
eCHAnisM
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10. Disciplinary Procedures
10.1 Triggers or disciplinary proceedings
Th RJC cmmttd t urg th rr mmtat th RJC tm amgt t Mmr ad
matag th tgrt th audtg actvt carrd ut accrdtd Audtr. Dcar rcdg
r Mmr r accrdtd Audtr ma ar rm a ack rrmac agat th tm, th rut acmat, r thr matra u dra t th attt th RJC Maagmt Tam. Trggr r dcar
rcdg ma cud:
Vrcat udr th RJC tm t cmt dad cd ct 2.4 th Hadk:
Crtca rach dtd a audtr;
Majr r ratd -crmac that ar t atactr addrd th Mmr;
Agrd ad raa tmram r crrctv act t mt;
Dctv r thr mrr audtg;
Kg rvdg a, cmt r madg rmat t th RJC r a Audtr;
Judgmt a curt a, r thr ga r admtratv rguatr d, u ratg t th
Cd practc;
othr rgg RJC t ru drut.
10.2 Condentiality
Dcar rcdg tratd th a hgh dgr cdtat ad dc ad
ojctv evdc. Th RJC Maagmt Tam ma k ddt ga advc r th vvmt
ddt Audtr t at th th vtgat ad dc.
10.3 Disciplinary procedures
prcdur r dcar rcdg agat Mmr ar ad ut th RJC Artc Acat.
smar rcdur a r rcdg agat Audtr. i ummar, th ma t cud:
Grud r dcar act ar rught t th attt th RJC Ceo;
Fu vtgat udrtak th RJC Maagmt Tam r t agt. A agt th RJC
ud a cdtat agrmt;
Th Ceo rrt th dg t th RJC excutv Cmmtt th a rcmmdat r dcar act r
dma th rcdg;
Th RJC excutv Cmmtt ha a majrt vt th Mmr rt ad ttd t vt, dm t
uct rv t jut takg dcar act agat th Accud Mmr;
Th RJC excutv Cmmtt drct th Ceo t rar ad rvd t th Accud Mmr a rtt
statmt ojct a t th cduct th Accud Mmr;
Th Accud Mmr ma, th 30 da rct th ojct, umt t th Ceo a rtt r
t th ojct;
o rct a r, r th xr th r rd, th RJC excutv Cmmtt ha rqut th
Drctr th RJC t cv a mtg th RJC bard t cdr ad vt th rd dcaract agat th Accud Mmr;
bth th Accud Mmr ad th Charma th RJC excutv Cmmtt ma mak ra rrtat
ad th ojct ad th ojct R;
Mt Dcar Rut rqur a vt crt at. T ad, uch rut rqur
thr-quartr th vt th Drctr rt ad ttd t vt.
A dvdua vvd a dcar rcdur ha r a cfct trt. RJC excutv Cmmtt
Mmr r RJC bard Drctr h ar cr r m th Accud Mmr, r rrt Mmr at
th am v th u cha a a Mmr cmad , t ad t vt a artcuar cur
act vvg that Mmr.
DisCipl
inARy
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10.4 Disciplinary outcomes
i th utcm du rc a dc t a act, th ma cud:
Fr Mmr: tmrar r rmat mmrh th RJC;
Fr Audtr: tmrar r rmat accrdtd tadg t cduct Vrcat Amt.
10.5 Final appeal
Mmr r Audtr ujct t dcar act hav th rght, th thr mth tcat thdc, t rr a dut arg ut dcar rcdg r a aa ad rut ddt
artrat. Th artra trua ct a artratr t atd th prdt th ld-
ad Chartrd ittut Artratr.
Summary
Dcar rcdg agat Mmr ma trggrd act r m that act th tgrt
th RJC tm.
Gud r trggr r dcar rcdg, ad th rcdur that d, hav
dvd.
Cdtat matad durg dcar rcdg.
DisCipl
inARy
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11. External Reporting
11.1 RJC Management Team reporting
Traarc a crtca cmt u rt tatv. extra rrtg th RJC
mmtat t crtcat tm cud:
A uc avaa drctr Mmr rcrdg thr crtcat tatu. Fr crtd Mmr,th cud:
th am ad ggrahc cat/ th crtd Mmr (ummard hr car), tg a
audtd ut t crtd Mg Fact;
th dat Crtcat cm ctv ad h r-amt du; ad
th tadard dcumt (cudg u umr ad/r rv) ud r th amt;
Aua Mmrh Rrt Mmr aggrgat rgr mmtg th RJC tm;
Rguar cmmucat th RJC tm t a d rag dutr ad uc rum.
Th matra mad avaa th RJC t ad, rqut, rardd th RJC
Maagmt Tam t a Mmr r trtd art.
11.2 Member reporting
Crtd Mmr ar urthr curagd t uc rrt thr vrcat rc ad utcm
cma rrt ad a thr arrat ucat r rum.
eXTeRnAlRepoRTinG
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12. Review Roadmap
12.1 Continual improvement o the RJC system
Vutar rguat ad thrd-art crtcat tm ar rad vvg. A RJC crtcat a
tatv, thr ma t ard thrugh t ta mmtat. Th RJC tm tdd
t vv vr tm, tad mrvg t cc ad ctv, ad xadg t cma a drrag jr rduct ad rvc.
12.2 Standards review and development
ovr th xt ar, th RJC Maagmt Tam, cutat th Mmr ad takhdr, mtr
th augura mmtat th RJC tm ad vtgat rtut r hacmt. ortut r
harmat ad tchca quvac agrmt t th RJC tadard ad cmara tadard
ught hrvr arrat. Th RJC cmmt t rma rvg th Cd practc at at vr
thr ar.
Th RJC td t a r Acat Mmrh th itrata sca ad evrmta Accrdtat
ad lag (iseAl) Aac, a dmtrat th RJC cmmtmt t crd ad ctv ca,
vrmta ad thca tadard. A art th rc, th RJC dv a radma r achvgcmac th th iseAl Cd Gd practc r sttg sca ad evrmta stadard.
12.3 Authority or revisions
Addta gudac t ad udat dvd r Mmr ad audtr hr cc u ar
dtd.
Th RJC bard r r authrg a utur rv r addt t th tm.
i rv t th RJC tm d t tak ac, Mmr rqurd t th rvd tm r thr
xt ad s Amt r Vrcat Amt. Mmr ud noT rqurd t r-d
a Amt arad udrtak r crtcat ur.
12.4 Feedback welcomeFdack a act th RJC crtcat tm cm at a tm t th RJC Maagmt Tam,
ad ud t mrv tm ad rc a arrat.
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 2 7
Glossary
pa rr t th g gar r trm ad acrm ud th RJC stm dcumt:
Accreditation Rcgt a audtr cmtc t carr ut vrcat amtad vauat crmac agat a tadard.
AML At-m audrg.
APELL Aar ad prard r emrgc at th lca lv.
Applicable Law Th rvat ata ad/r tat ad/r ca a th cutr r cutr hch th Mmr rat.
ASM Artaa ad sma-ca Mg.
Assessment Manual itruct r Mmr ad Audtr h t carr ut s Amtad Vrcat Amt.
Assessment Questions A t qut dgd t a a Mmr rrmac agat thCd practc ad t prv. Mmr ad Audtr u th amAmt Qut.
Assessment Tools Dcumt r tar that rvd gudac ad/r rcrd rmat
ad vdc rqurd t carr ut a s Amt r Vrcat.Assessor em() r r() cmmd a Mmr t cduct a s
Amt.
Auditor A ddt, thrd art r r rgaat mtg th RJC jctvct crtra ad accrdtd t carr ut Vrcat.
Biodiversity Th varat amg vg rgam rm a urc cudg, tr aa,trrtra, mar ad thr aquatc ctm ad th cgca cmx hch th ar art; th cud dvrt th c, t c ad ctm.
Bribery Th rg, rmg r gvg, a a dmadg r acctg a uduadvatag, hthr drct r drct, t r rm:
A uc ca;
A tca caddat, art r ca; r
A rvat ctr em (cudg a r h drctr rk r a rvat ctr trr a caact).
Business ethics ethca rght ad dut xtg t u ad ct.
Business Partners A rgaat r u ett th hch a ett ha drct u rat(xcudg d cumr, ut cudg Ctractr, cutmr, sur ad
jt vtur partr) ad that u ad/r a rduct r rvc that drctctrut t th xtract, mauactur r a Damd ad Gd Jrrduct.
Fr th avdac dut, th d t cud ett that rvd urt
rduct ad rvc, r xam, qumt, c u ad utt.nr d t cud ett that rvd arat cmt, t art th
Damd ad Gd u cha, uch a attr, rg ad mar tm.Certication A atttat th RJC, ad th rut a Vrcat Amt
a accrdtd Audtr, that th Mmr ha achvd th rqurd v Crmac agat th Cd practc.
Certication Period Th rd tm that Crtcat vad, atr hch tm th Crtcatmut rd thrugh a Vrcat Amt. Crtcat prd
ar r ar r thr ar durat ad th dg th VrcatAmt.
CerticationRecommendation andSummary Report
A ummar rrt rm th lad Audtr t th RJC Maagmt Tam a Mmr vra rrmac agat th Cd practc ada rcmmdat r r agat crtcat.
Certication Scope Th Crtcat sc dd th Mmr ad cvr th art th
Mmr u (.. Fact ad actvt) that actv ctrut t thDamd ad/r Gd Jr u cha.
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 2 8
Certied Member A Mmr crtd th RJC that t u ractc hav ud,thrugh Vrcat a Audtr, t mt th rqurd v Crmacth th Cd practc.
CFT Cmatg th ac trrrm.
Child A r tha 15 ar ag, u ca ata / ca mmum ag atuat a hghr ag r rk r madatr chg, hch ca th hghr
ag ud a. i, hvr, th ca ata / ca mmum ag t at 14ar ag accrdac th th dvg cutr xct udr ilo
cvt 138, th r ag ud a.
Child Labour A rk a Chd, xct a rvdd r ilo Cvt 138 (a rmmum ag 13 (12 dvg cutr) r ght rk hch thrharm a ug r dvmt r rjudc ch attdac). Chdlaur rk that drv chdr thr chdhd, thr tta ad thr
dgt, ad harmu t thr ca, hca ad mta dvmt.
CIBJO wrd Jr Cdrat
Code of Practices (COP) A t tadard that d r thca, huma rght, ca, advrmta ractc, aca t a RJC Mmr thrughut th Damdad/r Gd Jr u cha.
Collective bargaining A rc thrugh hch mr (r thr rgaat) ad rkracat (r thr ac, r dgatd rkr rrtatv)
gtat trm ad cdt rk.
Community Trm gra ad t th hatat mmdat ad urrudg ara har actd m a a cma actvt; th ct ma cmcad ca a a vrmta atur.
Communitydevelopment
prc hr cra th trgth ad ctv thrcmmut, mrv thr quat , hac thr artcat dcmakg ad achv gratr g trm ctr vr thr v. it d th, rathrtha r, cmmut, thr rfctg ca d ad rrt.
Community engagement T a rmat harg ad dc makg rc cvrg cmmutu ad rrt a a th ccr ad d th u. bd jut
tg, th am t ur mutua udrtadg ad rv aart t a thm t maag dc that hav th tta t act accrd.
Confict Diamond Rugh Damd ud r mvmt r thr a t ac cfct amdat udrmg gtmat gvrmt, a dcrd rvat Utd nat
scurt Cuc (UnsC) rut ar a th rma ct r thrmar UnsC rut hch ma adtd th utur, ad a udrtda rcgd Utd nat Gra Am (UnGA) Rut 55/56,
r thr mar UnGA rut hch ma adtd utur.
Conormance Th Mmr u ractc, cudg th c, tm, rcdurad rc, rrm a mar that crm t th Cd practc.
Continual improvement A gg rc hacg rrmac ad maagmt tm agatth Cd practc.
Contractor A dvdua, cma r thr ga ett that carr ut rk r rrmrvc uruat t a ctract r rvc r a Mmr. Th cud u-
ctractr.
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 2 9
Control Ctr a Mmr dd a:
1. Drct r drct rh, r Ctr (a r uruat t a agrmtth thr Mmr) 50% r mr th vtg qut/rght (rquvat) th ctrd u r Fact; ad/r
2. Drct r drct (cudg uruat t a agrmt th thr Mmr)r t rmv, mat r at at at ha th mmr th bard
th drctr r maagmt (r quvat th ctrd u rFact; ad/r
3. Da-t-da r xcutv maagmt th ctrd u r Fact; r
4. A ga rcgd cct Ctr aagu t th dcrd (1) t (2) av a rvat jurdct.
Athugh th av d Ctr a crrat ctxt, th am rc a aag t thr rgaata arragmt, cudg Frach,lc ad Ctr a dvdua r a am, hr aca.
Corrective action A act mmtd a Mmr t mat th cau a -crmac rdr t rvt a rcurrc.
Corrective Action Plans pa th t mt dvd Mmr t addr -crmacdtd durg th s Amt r Vrcat Amt.
Corruption Th mu trutd r r rvat ga.
Critical Breach A Majr n-Crmac agat a prv dmd t crtca t thtgrt th RJC tm. Crtca prv ar dtd ct 7.2 th Crtcat Hadk.
idtcat a Crtca brach rqur Mmr ad Audtr t mmdatt th RJC Maagmt Tam. Dcar rcdg agat th Mmr autmatca trggrd th RJC td th Audtr.
Diamond A atura mra ctg ta ur car crtad th a cuctructur th mtrc tm. it hard th Mh ca 10; t cc
gravt arxmat 3.52; t ha a rractv dx 2.42 ad t ca ud ma cur.
Discipline A ma t crrct r mrv j-ratd havur r rrmac.
Discrimination whr ar tratd drt cau crta charactrtc uch arac, cur, x, rg, tca , ata xtract r ca rg
hch rut th marmt quat rtut ad tratmt.
EITI extractv idutr Traarc itatv
Emergency A arma ccurrc that ca a thrat t th sat r Hath em, Ctractr, Vtr, cutmr, r ca cmmut, r hch
ca cau damag t at r th evrmt.
Employee A dvdua h ha trd t r rk udr a ctract mmtr a ctract rvc r artch, hthr xr r md, ad ( t
xr) hthr ra r rtg, r a dd Aca la, th aMmr.
Employmentrelationship
Th ga k t mr ad em that xt h a rrrm rk r rvc udr crta cdt rtur r rmurat.
Entity A u r mar hch rat r mr Fact hr thr rh r Ctr that ett th Mmr. Th ett ca cttutart r h th Mmr.
Environment surrudg hch th Fact rat, cudg ar, atr, ad, aturarurc, fra, aua, hatat, ctm, dvrt, huma (cudghuma artact, cutura gcat t ad ca act) ad thr tract.
Th evrmt th ctxt xtd rm th a rat t th gatm.
Facilitation payments Factat amt ar ad t rcv rrta tratmt r mthgthat th amt rcvr thr t rqurd t d.
Facility A Fact rm that :
od r udr th Ctr a Mmr; ad
Actv ctrut t th Damd ad/r Gd Jr u cha.
s a Mg Fact.
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FATF Faca Act Tak Frc
Finance o terrorism A kd aca urt t th h curag, a r gag trrrm.
Fit or Work Ft r wrk ma that a dvdua a tat (hca, mta admta) hch a thm t rrm thr agd dut ctv ad
a mar hch d t thrat thr r thr sat ad Hath.
Forced labour A rk r rvc xactd gvrmt, cma r dvdua udr th
mac at, ad hch a r ha t rd vutar t d. it arr t rk r rvc that dmadd a a ma ramt dt.
Franchising/Licensing Arragmt hr Mmr tctua rrt rght ar cd t thrdart t udr th Ctr th Mmr r th ur ag ththrd art t rduc, markt r a r art rduct r rvc thatcta a Mmr rad am, tradmark r thr tctua rrt.
Freedom o association Th rght rkr ad mr t r rm ad j gru r thrmt ad dc ccuata trt.
Gold A rare yellow metallc element wth the chemcal symbol Au. it s a mneral wthspecfc hardness o 2.5-3 on the Mohs scale o hardness and the atomc number79.
Hazard A urc tta harm, jur r dtrmt.
Hazardous Substance A matra that a thrat t huma Hath ad/r th evrmt.
Health A tat hca, mta ad ca -g ad t mr th ac da r rmt.
Health and saety Th am hath ad at tatv t rvt accdt ad jur tra g arg ut , kd th r ccurrg th cur rk.
Th d mmg, a ar a raa ractca, th cau hazardhrt th rkg vrmt.
HIV/AIDS Huma immudcc Vru/Acqurd immudcc sdrm.
Human rights Uvra rght ad rdm rgardd a gg t a , av th a a dvdua at. Huma rght th RJC stm cca cud thartcuatd th Uvra Dcarat Huma Rght, th ilo Dcarat
Fudamta prc ad Rght at wrk, ad Aca la.Indigenous Peoples Thr uvra acctd dt idgu p. Th trm
ud hr a grc t rr t a dtct ca ad cutura grug th g charactrtc varg dgr:
s-dtcat a mmr a dtct dgu cutura gru adrcgt th dtt thr;
Cctv attachmt t ggrahca dtct hatat r actra trrtr th rjct ara ad t th atura rurc th hatat ad trrtr;
Cutmar cutura, cmc, ca, r tca ttut that ar aratrm th th dmat ct r cutur;
A dgu aguag, t drt rm th ca aguag thcutr r rg.
ICMM itrata Cuc Mg ad MtaIFC itrata Fac Crrat
ILO itrata laur orgaat
ISO itrata orgaat r stadardat
IUCN itrata U r th Crvat natur
Jewellery Fr th acat th RJC tm, a adrmt mad prcu Mta(cudg Gd) ad/r t th gm t (cudg Damd). Jrcud, ut t mtd t, ract, rg, ckac, arrg ad atch.
Key Biodiversity Areas K bdvrt Ara (KbA) ar ac trata mrtac r thcrvat dvrt thrugh rtctd ara ad thr gvracmcham. Th ar dtd ata, ad thr mrtac
matag c uat.
Kimberley ProcessCertication Scheme(KPCS)
A jt gvrmt, trata damd dutr ad cv ct tatv t
tm th f Cfct Damd.
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R e s p o n s i b l e J e w e l l e R y C o U n C i l 3 1
Lead Auditor A lad Audtr r r th ct ad ctv cduct adcmt a Vrcat Amt r a Mmr ad ma c-rdat atam Audtr.
Legal compliance Actg th, r udr th drct , Aca la.
Major Non-Conormance Th Mmr u ractc cudg th c, tm, rcdur adrc rrm a mar that t crmat th th Cd practc.
Majr n-Crmac ar dd a th ccurrc r mr thg tuat:
Th tta ac mmtat a rqurd rv;
A Mmr-d tmc aur r tta ack ctr rqurd t maagu rk ratd t th RJC stm;
A tuat hr th Mmr u ractc hav t dtd rvatgatv r rguatr rqurmt, r thr a -cmac gatv
r rguatr rqurmt ad/r adquat attmt t rct th -cmg cdt;
A gru ratd, rttv r rtt Mr n-Crmac dcatgadquat mmtat;
A dg r rvat urtd th ojctv evdc t rv a Crtcabrach, r hch ra ru dut a t hthr th Mmr ha th
u ractc t avd a Crtca brach.
Management system Maagmt rc ad dcumtat that cctv rv a tmatcramrk r urg that tak ar rrmd crrct, ctt adctv t achv th drd utcm, ad t drv ctua mrvmt
rrmac.
Mark A Mark, g, dvc, mrt, tam, rad, a, tckt, ttr, rd r gur.
Member A u that:
() actv vvd r cmmrca ra th Damd ad/r GdJr u cha; ad
() xmt rm th r cutat, advr r a thr mar tt; ad
() cmmt t th rvag RJC prc ad Cd practc uthc, ca, huma rght ad vrmta rrmac ad maagmt
tm; ad(v) cmmt t a Vrcat Amt a Audtr udr th RJC stm;
ad
(v) udrtak th amt th aua RJC cmmrca mmrh ;
g t cm a RJC Cmmrca Mmr.
Th Mmr ma ct r mr ett ad/r Fact.
i RJC stm dcumt, th trm Mmr rr cca t RJC Cmmrca
Mmr.
Member VericationReport
A cmrhv rrt t th Mmr rm th lad Audtr th dg
th Vrcat Amt ad a vauat th Mmr crmac thth RJC Cd practc.
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Mining Facility A Fact that xtract Damd r Gd, r mra ctag aa quatt Damd r Gd, rm th arth.
Fr th avdac dut:
Fact th xrat t r-cmmd tag th m cc art vtd a art th Vrcat Amt. bu ractc th
tag th m cc ca vdcd, hr car ad arrat, dkt rv c, tm, rcdur ad rc.
A Mg Fact xcudd rm RJC Crtcat rvr tag da ud at that Fact. Hvr a thr Cop rv a at that Fact ad t
ca cudd th Vrcat sc.
A Mg Fact t cudd th Crtcat sc thr aaDamd r Gd, r xam hr Gd a trac mt mracctrat, rc -rduct, r at.
A Mg Fact rducg mut cmmdt r rduct, cudgDamd ad/r Gd, ca xcudd rm th Crtcat sc thr aara crtcat tm aca t thr cmmdt rducd thMg Fact that vauatd th RJC t tchca quvat t th
RJC tm.
Mining Supplement Addta mg-cc stadard udr dvmt, hch
crratd t th Cd practc. Th aca t Mmrmg Fact.
Minor Non-Conormance Th Mmr u ractc cudg th c, tm, rcdurad rc rrm a mar that t h crmat th th Cd practc. Mr n-Crmac ar dd a th ccurrc r
mr th g tuat:
A atd a thr rrmac, dc r ctr th Mmru ractc, hch d t ad t a Majr n-Crmac thRJC Cd practc; ad/r
A dg hch ma t a actua rach th RJC Cd practc atth t tm, ut judgd t a tta adquac th Mmru ractc durg th Crtcat prd.
Money laundering Th rc hch th aca rcd crm ar dgud t cca thr
ga rg.
NGOs n-gvrmt rgazat
Non-Conormance A tuat hr th Mmr u ractc d t crm th th RJCCd practc.
Objective Evidence Vra rmat, rcrd, rvat ad/r tatmt act ad ca quatatv r quattatv.
OECD orgaat r ecmc C-rat ad Dvmt
Overtime Hur rkd addt t th a rguar chdu.
Partners idvdua r rgaat, cudg jt vtur artr, gvrmt agcad thr takhdr ad xcudg Ctractr, cmmrca arragmt
ad/r xcutg rjct r rgram rk th Mmr().
PPE pra prtctv equmt. Rr t rtctv cthg ad thr garmtuch a gv, rtctv tar, hmt, ggg ad ar ug, a dgdt rtct th arr rm xur t j ratd ccuata hazard.
Policy A tatmt rc ad tt.
Pollution Th rc a utac th evrmt that cau t chmcacmt r quatt rvt th uctg atura rc ad
rduc udra vrmta ad Hath ct.
POPs prtt rgac utat
Precious Metal Gd, aadum, atum ad vr ad a a a th mta ad athr mta ad a a thr that dgatd rvat rguat a a
prcu Mta.
Procedure A cd mar t cduct a actvt r a rc. prcdur ca dcumtd r t.
Provision A rqurmt tuatd th Cd practc.
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Quality Mark A Mark dcatg r urrtg t dcat th quat, quatt, , ght,thck, rrt r kd prcu Mta a artc.
Rehabilitation T rtur dturd ad t a a, ta ad -utag cdt.
Remediation puttg ac a tmc chag r ut t crrct a dtd rmr -crmac.
Remuneration icud ag r aar ad a thr t cah r kd, ad
mr t rkr.
RJC R Jr Cuc.
RJC Annual MembershipReport
A rrt rard th RJC Maagmt Tam Mmr aggrgatrgr udr th RJC tm. Th rrt t rard aua ad maduc avaa.
RJC Co-ordinator A r dgatd a Mmr h crdat ad vr th sAmt, Vrcat Amt, a Crrctv Act pa ad ath th RJC Maagmt Tam r that Mmr.
RJC Management Team Th RJC ta h ar md t carr ut th xcutv uct thrgaat.
Responsible Jewellery
Council System(RJC System)
Th R Jr Cuc (RJC) stm a crtcat tm that am
t rmt r thca, huma rght, ca ad vrmta ractcthrughut th Jr u cha. Th RJC tm dd th Cd practc, Gudac Dcumt ad Amt T.
Rights-compatible A rght-cmat gagmt arach r grvac mcham thatrvd a vhc r addrg u hthr r t th rat t utatvhuma rght u a mar that rct ad urt Huma Rght.
Risk exur t th cquc ucrtat. it ha t dm: th khd mthg hag ad th cquc t r t ha.
Risk Assessment Th tmatc vauat th dgr Rk d a actvt r rat.Th rc ug th rut Rk aa t rak ad/r cmar thm thaccta Rk crtra r ga.
Saety Th cdt g a ad r rm dagr, Rk r jur.
Sector A dtct art th Gd ad Damd Jr u cha. Th RJC currtdt th g sctr amgt t Mmrh:
Gd ad/r Damd rducr
Gd tradr, hdgr r rr
Damd tradr ad/r cuttr ad hr
Gd ad/r Damd Jr mauacturr
Gd ad/r Damd Jr har
Gd ad/r Damd Jr rtar
srvc dutr t th Damd ad/r Gd dutr (xcudg cutat,advr ad audtr)
Trad acat vvd h r art a th sctr av.
Sel Assessment Th amt carrd ut Mmr dcrg thr ett ad Fact
ad vauatg thr rrmac agat th rqurmt th Cd practc. Mmr ca u th s Amt t gaug thr rard ra Vrcat Amt, mrv ractc ad t dt ojctv evdc
rqurd durg a Vrcat Amt.
Sel AssessmentWorkbook
A rkk dgd r Mmr t u t carr ut a s Amt.
Simulant A damd smuat a jct r rduct ud t mtat Damd r mr a t rrt ad cud a matra hch d t mt th
rqurmt cd th dt Damd th gar.
SoW stm warrat
Stakeholder Th h hav a trt a artcuar dc, thr a dvdua rrrtatv a gru, cudg h fuc a dc, r ca
fuc t, a a th actd t. stakhdr cud -gvrmtrgaat, gvrmt, harhdr ad rkr, a a ca cmmutmmr.
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GlossARyStandard A jctv ractc, rcdur r rc that rcgd a tgra t th
tgrt a rgaat u ad/r rduct ad/r rvc. Fr th RJCstm, th Cd practc th stadard ratg t th Damd ad/r Gd
Jr u cha.
Suggested BusinessImprovement
A tuat hr th tm, rcdur ad actvt ar Crmac th
th rvat prv th Cd practc, ut hr a Ar r Audtrdtrm that thr c t mrv th currt rc. A suggtdbu imrvmt rd thut rjudc, ad t mmtat t
madatr. suqut Amt ha t judg rrmac ad thmmtat a suggtd bu imrvmt.
Supplier A u tt that rvd gd ad/r rvc tgra t, ad utd rr th rduct , a Mmr Damd ad/r Gd rduct.
Synthetic A sthtc damd a jct r rduct that ha thr arta rh crtad r r-crtad du t artca huma trvt uch that,th th xct g -atura, th rduct mt th rqurmtcd th dt th rd Damd th gar.
Tailings Grud rck ad fut that ar gratd durg rcg th r.
Third party A r r d ddt th r r rgaat g vauatd,
ad ur trt that r r rgaat.Treated Diamond A Tratd Damd a jct r rduct that mt th rqurmt cd
th dt th rd Damd r th rd sthtc a cudd th gar that ha ujct t a Tratmt a dd th gar.
Treatment Tratmt ma a rc, Tratmt r hacmt chagg, trrgth ad/r ctamatg th atura aarac r cmt a Damdthr tha th htrca acctd ractc cuttg ad hg. it cud
cur (ad dcurat) Tratmt, ractur g, ar ad rradatTratmt ad catg.
UDHR Uvra Dcarat Huma Rght
UN Utd nat
UNEP Utd nat evrmt prgram
Uncontrolled Hazard A dtd urc tta harm, jur r dtrmt (.. a Hazard) that ackrcgd ad/r arvd maagmt, rata r tchca ctr.
Verication
(auditing)
Crmat a Accrdtd Audtr, thrugh th amt ojctvevdc, that th prv th Cd practc hav ud.
Th rut Vrcat ar ud a th a r a dc Crtcat.
Verication Assessment A Vrcat Amt cmr th g:
A rmar dkt rv th Mmr s Amt Qutarad thr ratd rmat;
sct a rrtatv t th Mmr Fact ad u ractct vt ad a;
Vrcat th Mmr s Amt thrugh -t rv at thctd am Fact.
Verication Plan(Audit Plan)
A Vrcat pa, a rrrd t a a audt a, dvd a Audtr
t ut hat th Mmr u ractc rvd, hm adh ad hch Fact, ad mat hch Mmr r hud vvd. it dvd rm th dt th Vrcat sc.
Verication Reports T kd rrt ar gratd ut th vrcat rc:
A Mmr Vrcat Rrt t th Mmr;
A Crtcat Rcmmdat ad summar Rrt t th RJCMaagmt Tam.
Verication Scope Th Vrcat sc dd Audtr ad cud a ct Factrm th th Crtcat sc ad a ct prv rm th Cd practc that ar cdrd t th mt rvat, takg t cdrat th
atur, ca ad mact th Mmr u.
Visitor A r vtg a Mmr Fact h t a em r Ctractr at thatFact.
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GlossARyWaste sd, qud r gau matra that dcardd r gr dd. wat ca
cau ut ad mact th vrmt t rr maagd. i thJr u cha, th ma rm wat cud Hazardu sutac, ar
ad atr m, ad gra rata wat.
WDC wrd Damd Cuc
Workers pr dd a em, Ctractr.
WGC wrd Gd Cuc
Working hours Th tm durg hch th r md ar at th da th mr.Rt rd ar tm durg hch th r md ar t at th da
th mr.
World Heritage Sites st tahd udr th wrd Hrtag Cvt 1972.
Young Person A rkr vr th ag a Chd a dd av ad udr th ag 18 ar.