rjc cert handbook-091

7/30/2019 RJC Cert Handbook-091

1/35

ResponsibleJewelleryCouncil

GUIDANCE

Certifcation Handbook

December 2009G001_2009 Certifcation Handbook Version 2

Responsible Jewellery Council

CertifcationHandbook


2/35

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.


3/35


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


4/35


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


5/35


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


6/35


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


7/35


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


8/35


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


9/35


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


10/35

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.


11/35


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


12/35


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.


13/35


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


14/35


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

RJC CerticationGranted


15/35


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.

sTepsTo

CeRTiFiCATion


16/35


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.

sTepsTo

CeRTiFiCATion


17/35


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.

sTepsTo

CeRTiFiCATion


18/35


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


19/35


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.


20/35


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.

VericationAssessment


21/35


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


22/35


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


23/35


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

pRoCeDURes


24/35


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

pRoCeDURes


25/35


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


26/35


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.

ReView

RoADMAp


27/35


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.

GlossARy


28/35


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.

GlossARy


29/35


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.

GlossARy


30/35


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.

GlossARy


31/35


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.

GlossARy


32/35


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.

GlossARy


33/35


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.

GlossARy


34/35


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.


35/35

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.

rjc cert handbook-091

Documents