Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining

1.1 Certification ________________________________________________________________ 15

1.2 Definition of an ASMO ________________________________________________________ 17

1.3 ASMOs and Traders responsibilities _____________________________________________ 20

1.4 Relationship with Local Communities ____________________________________________ 22 2 Trade ________________________________________________________________________ 24

2.1 Traceability ________________________________________________________________ 24

2.2 Product composition _________________________________________________________ 30

2.3 Responsible sourcing and market information _____________________________________ 31

2.4 Use of the Fairtrade certification mark ___________________________________________ 36 3 Production____________________________________________________________________ 38

3.1 Management of production practices ____________________________________________ 38 3.2 Human Rights, Environmental and Minerals from conflict affected and high-risk areas Due Diligence _______________________________________________________________________ 40

3.3 Environmental Management Plan _______________________________________________ 46

3.4 Mercury Management Plan ____________________________________________________ 50

3.5 Cyanide Management Plan ____________________________________________________ 53

3.6 Water management plan ______________________________________________________ 54

3.7 Waste Management Plan _____________________________________________________ 56

3.8 Mine Closure Plan ___________________________________________________________ 58

3.9 Eco gold, silver and platinum __________________________________________________ 60 Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 2 <!-- page break --> Back to Content

3.10 Labour conditions ___________________________________________________________ 61

3.11 Freedom from discrimination___________________________________________________ 63

3.12 Freedom from forced labour ____________________________________________________ 66

3.13 Child labour and child protection ________________________________________________ 68

3.14 Freedom of association and collective bargaining __________________________________ 71

3.15 Conditions of employment_____________________________________________________ 74

3.16 Occupational Health and Safety ________________________________________________ 81 4 Business and Development _____________________________________________________ 85

4.1 Development Potential _______________________________________________________ 85

4.2 Democracy, Participation and Transparency ______________________________________ 92

4.3 Non-discrimination __________________________________________________________ 95

4.4 Pre-finance ________________________________________________________________ 96

4.5 Pricing ____________________________________________________________________ 97 Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 3 <!-- page break --> Back to Content Introduction Purpose Fairtrade is a strategy that aims to promote sustainable development and to reduce poverty through fairer trade. The main goals of Fairtrade are making changes to the conventional trading system that aim to benefit disadvantaged small producers and Workers in the Global South and increasing their access to markets. These actions can lead to improvements in small producers’ social and economic well-being, as well as to their empowerment, and to environmental sustainability. The Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-Scale Mining covers the requirements that need to be complied with to participate in the Fairtrade system. Fairtrade’s vision for Artisanal and Small-scale Mining is aligned to the core Fairtrade values of empowering producers and Local Communities through trade and delivering economic, social and environmental transformation and Rehabilitation. Fairtrade believes that the intended change can only happen if both ASMOs and Traders share responsibility and partner together towards socially and environmentally sustainable mining and fair trading practices. The overall objective of this standard is to create opportunities for artisanal and small-scale Miners and their communities, who have set themselves the goal of moving towards a formal model of operation and governance. This standard will support this process through the improvement of social and economic well- being, and creation of conditions for their empowerment. All this aims to work towards the implementation of responsible production practices and establishing long-term access to international markets under fair trading terms providing an incentive and a recognition for the commitment of Miners. Fairtrade aims to improve working conditions for Miners and strengthen mining organizations and their capacity to lobby for: • legislations and public policies that promote a responsible Artisanal and Small-scale Mining sector; • improved environmental management (including mitigating the use of mercury and implementing environmental Rehabilitation); • social security; • gender equality; • child protection and the elimination of child labour in mining communities; • the well-being of families and children; • fairer market access; • benefits to Local Communities in Mineral-rich ecosystems; and • improved governance within this sector. This standard covers Precious Metals produced from primary (hard-rock), secondary (placer) and tertiary (Tailings and spoil heaps) deposits. Fairtrade Precious Metals includes gold (Au), silver (Ag) and platinum (Pt) when found and produced as by-products alongside certified gold. Intermediate products with a high concentration of gold and processed further to obtain the metallic gold can also be certified against this standard. The processing of these intermediate products, and in some cases further enrichment leading to a higher Mineral content of the product traded, can be undertaken by the ASMOs to add value to their product, by third-party service providers, or by Downstream Operators buying from the ASMOs. This can include refining. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 4 <!-- page break --> Back to Content Accumulation of intermediate products from different certified origins can be undertaken by ASMOs, by third-party service providers or by Downstream Operators buying from the ASMOs. In this standard, there are additional requirements for Fairtrade “Eco” Precious Metals. These additional requirements are outlined in chapter 3.9 in the sub-chapter “ Eco gold, silver and platinum”. On top of these additional rules, all other requirements of this standard apply to the Fairtrade “Eco” Precious Metals, this includes all development requirements in sections 3.3- 3.9. With exception of pure gold bars or coins, the Fairtrade precious metal component in the final consumer product is usually used together with other, non-Fairtrade-certified Precious Metals in an alloy. Artisanal and Small-scale Mining Organizations (ASMOs) An ASMO is constituted according to the legal, social, cultural and organizational reality of the local context. An ASMO promotes formalization and improvement of mining practices within an ASM community and has direct (held by the ASMO) or indirect (held by Miners of the ASMO) legal or contractual rights and environmental permits to Mine. An ASMO is comprised of and/or held by legal members/owners. In the ASMOs’ System of Production different artisanal and small-scale Miners may be operating with the ASMO’s consent: among them there might be self-employed Miners, family units, groups of self-employed Miners, other community-based organizations like women Mineral Selectors, micro-enterprises contributing to the family economy, small enterprises, and similar, as well as various types of Workers. The ASMO is responsible for the Fairtrade certification and has either the legal right to grant permission to Miners to work in its System of Production or has been appointed by the holders of such rights to jointly represent them in all matters related to Fairtrade certification (ASMO with indirect rights). References When setting the Fairtrade Standards, Fairtrade International follows certain internationally recognized standards and conventions, in particular those of the International Labour Organization (ILO). Fairtrade has a rigorous standard operating procedure for setting Fairtrade Standards, which can be found at https://www.fairtrade.net/en/why-fairtrade/how-we-do-it/standards/how-we-set-standards.html. Fairtrade International also requires that mining organizations always abide by national legislation, on the topics covered by this standard, unless that legislation conflicts with internationally recognized standards and conventions, in which case the higher criteria prevail. However, if national legislation sets higher standards or ensures more favourable conditions for Workers on an issue than Fairtrade International, then it prevails. The same applies to regional and sector-specific practices. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 5 <!-- page break --> Back to Content How to use this Standard Scope This standard applies to ASMOs in the countries in the geographical scope of Fairtrade, and to Traders, including third-party Operators – see Scope and Assurance section in the Fairtrade Trader Standard. Precious Metals. The following organizational forms of ASMOs are in the Fairtrade scope of certification: Set up 1: ASMOs with direct rights to Mine: • Artisanal or small scale. • Hold legal rights and obligations. • Recognized by legal entity (authorization to operate). • Minimum number of members/owners is 10. • All the members hold the same duties, rights, and economic power. • An ASMO with direct rights to Mine, will cover different type of members, Workers and mining Operators working in its System of Production, some may be within and some outside of its Internal Fairtrade Supply Chain. Set up 2: ASMOs with indirect rights to Mine: • ASMO is an umbrella just for individual artisanal members/owners who hold individually legal rights to Mine (authorization to operate). • ASMO is legally constituted. • ASMO aggregates metals from its members to trade it. • Minimum number of members to be considered as an organization is 10. • Members hold the same duties, rights, and economic power (all of them are artisanal). • An ASM with indirect rights to Mine cannot cover other mining Operators than artisanal Miners. Set up 3: ASM Operators, with direct rights to Mine: • Artisanal or Small-Scale. • Artisanal or Small-Scale Mining Operation could be a Family business, individual business, or business partnerships constituted by less than 10 members/owners. • Recognized by legal entity (authorization to operate). • Holds legal rights and obligations. Third-party industrial Operators: They work with certified ASMOs aggregating and/or processing certified Mineral to transform the crude Mineral extracted from the ASMOs into an intermediate product (doré bar) or Mineral product with a higher value. These Operators do not act as a first buyer with an obligation to pay the Fairtrade Minimum Price and Premium. Chapters The Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-Scale Mining has four chapters: General Requirements, Trade, Production and Business and Development. • The General requirements chapter defines what Fairtrade understands by ASMO and their members. • The Trade chapter defines what ASMOs and Traders can do to build fair trading practises. • The Production chapter defines what producers can do via production methods to better secure sustainable livelihoods. • The Business and Development chapter defines the unique Fairtrade approach to development. It explains how through social organization ASMOs can build a basis for empowerment and sustainable livelihoods. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 6 <!-- page break --> Back to Content Structure In each chapter and section of the standard you will find: • The intent which introduces and describes the objective and defines the scope of application of that chapter or section; • The requirements which specify the rules that you must adhere to. You will be audited according to these requirements; and • The guidance provided to help you interpret the requirements. The guidance offers best practices, suggestions and examples of how to comply with the requirement. It also gives you further explanation on the requirement with the rationale and/or intention behind the requirement. You will not be audited against guidance. Requirements In this standard you will find two different types of requirements: • Core requirements which reflect Fairtrade principles and must be complied with. These are indicated with the term ’Core’ found in the column on the left throughout the standard. • Development requirements which refer to the continuous improvements that certified organizations must make on average against a scoring system (also defining the minimum average thresholds) defined by the certification body. These are indicated with the term ’Dev’ found in the column on the left throughout the standard. You are in compliance with the Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale mining if you fulfil all core requirements and reach the minimum score on the development requirements as defined by the certification body. To be certified for Fairtrade Eco gold you need to fulfil all developmental requirements in sections 3.3-3.9, additionally to the core requirements. For more information on how you will be audited against the core, and development requirements please see the certification body’s website. Each requirement is assigned a number (0, 1, 3 or 6). This number represents the number of years you have until you are audited against the requirement. Note that some requirements may not apply to you. For example, if you and the members of your ASMO do not hire Workers, then you will not be audited against requirements related to Workers. Or, for example, if your ASMO and members do not use any mercury, then it will not be audited against requirements related to mercury. In such cases, the certification body will consider these requirements as non-applicable. In this standard there are requirements that apply to the certified ASMO (and its mining Operators) as the responsible party for fulfilling the requirement, and there are requirements that apply to the certified Trader as the responsible party for fulfilling the requirement. This is indicated next to each requirement under the column “applies to”. Please note that the Fairtrade Trader Standard also applies to all Traders referenced in this Standard, including also Refiners. In cases where this standard differs from the Fairtrade Trader Standard, the requirements presented in this standard apply. Implementation The certification body develops technical compliance criteria to be used during audits and for making certification decisions. These compliance criteria follow the wording and objectives of the requirements in this document. The Fairtrade International Standards & Pricing provide explanatory documents which contain further information related to this standard. These documents can be found on the Fairtrade International Website: https://www.fairtrade.net/en/why-fairtrade/how-we-do-it/standards/who-we-have-standards- Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 7 <!-- page break --> Back to Content for/gold-standard-and-associated-precious-metals-standard.html. You will not be audited against the explanatory documents. Application This standard is published on 25 June 2026. As of 1 July 2027, this version of the Fairtrade Standard for Gold and Precious Metals supersedes all previous versions. All certified organizations will need to comply with all requirements in this standard as of 1 July 2027. The timelines indicated in requirements refer to the number of years after first certification. Definitions This section includes the current definitions of mining related terms as employed by the mining industry, the Fairtrade standard setter and the certification body. Amalgamation: Low technological demand gold extraction method which uses mercury (Hg) to extract gold from the gold concentrate via the formation of an amalgam of Gold (Au), Silver (Ag), and Mercury (Hg). The amalgam is then decomposed by burning the mercury, leaving the gold and silver behind. Acid Mine Drainage is the formation and movement of highly acidic water rich in heavy metals. This acidic water forms through the chemical reaction of surface water (rainwater, snowmelt, pond water) and shallow subsurface water with rocks that contain sulphur-bearing Minerals (e.g. pyrite FeS2), resulting in sulfuric acid. The resulting fluids may be highly toxic and, when mixed with groundwater, surface water and soil, may have harmful effects on humans, animals and plants (Environnemental Protection Agency US). Artisanal and Small-scale Mining (ASM) – formal or informal mining operations with predominantly simplified forms of exploration, extraction, processing, and transportation. ASM can include men and women working on an individual basis as well as those working in family groups, in partnership, or as members of cooperatives or other types of legal associations and enterprises involving hundreds or even thousands of Miners. For example, it is common for work groups of 4-10 individuals, sometimes in family units, to share tasks at one single point of Mineral extraction (e.g. excavating one tunnel). At the organisational level, groups of 30-300 Miners are common, extracting jointly one Mineral deposit (e.g. working in different tunnels), and sometimes sharing processing facilities. (OECD Due-Diligence- Guidance-Minerals-Edition3). The legal definition of “Artisanal” and “Small Scale” depends on the national law. Artisanal mining is normally low capital and highly labour intensive. Small-scale mining uses mechanisation and advanced technology adapted to their size and experience. Formalized Artisanal and Small-scale Miner’s Organization or Operation (ASMO). This is equivalent to an ASM Enterprise in the OECD Due Diligence Guidance. (ASM Enterprises – Artisanal and small-scale entities that are sufficiently formalised and structured to carry out the OECD Due Diligence Guidance.) Fairtrade in this standard distinguishes 3 different set-ups of ASMO: • Artisanal and Small-Scale Mining Organization with Direct Rights: refers to an organization democratically constituted by ten or more members/owners, who have the same rights, obligations, and economic power. The organisation holds the direct legal rights to carry out the mining activity itself. • Artisanal and Small-Scale Mining Organization with Indirect Rights to Mine: is a democratic umbrella organization legally established by ten or more accredited artisanal members/owners who hold individually legal rights (authorization to operate) and trade their metal jointly. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 8 <!-- page break --> Back to Content • Artisanal and Small-Scale Mining Operator: refers to the operation of a family business, individual business, or a business partnership constituted by less than ten members/owners, with the same duties, rights and economic power, which holds the concession rights, legal property of the land and direct legal rights to Mine. Applies to: ASMOs: Means, the criteria apply to Artisanal and Small-scale Mining Organizations with Direct and with Indirect Rights and to ASM Operators. Artisanal and Small-Scale Miners’ Community: The local population that acts as the driving force behind the mining operation and that builds their own livelihood strategy upon the Mineral resources within their communal territory. Backfill: Placement of material into a surface or underground Mine excavation. Concentrate of Gold: An intermediate material produced from processing of gold ore to achieve a higher concentration but still requiring further intermediate processing to produce doré (OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas Edition 3). Conflict Areas: Conflict-affected and high-risk areas are identified by the presence of armed conflict, widespread violence or other risks of harm to people. Armed conflict may take a variety of forms, such as a conflict of international or non-international character, which may involve two or more states, or may consist of wars of liberation, or insurgencies, civil wars, etc. High-risk areas may include areas of political instability or repression, institutional weakness, insecurity, collapse of civil infrastructure and widespread violence. Such areas are often characterised by widespread human rights abuses and violations of national or international law (OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas Edition 3). Conveyor: A Conveyor is a certified Operator that receives the Fairtrade Minimum Price and/or Fairtrade Premium from a Fairtrade payer and passes it on to the respective ASMO. Cyanidation: Gold recovery process from gold bearing Ore, which use cyanide salts (CaCN, KCN, NaCN) to create a cyanide leaching of gold and silver, which is then recovered generally via activated carbon. Domestic Processing in the System of Production: Domestic processing plants are micro-enterprises using low technology. Being part of the family economy, they may – due to their size and characteristics – not require formal public registration, operation permits or labour inspection. The term “domestic” refers to the artisanal characteristics (in a narrower sense) of such units, not to their locations. As the term “artisanal” is already used in “ASMO” and ASMOs are required to be formal and count on all required permits, the term “domestic” is used for such units to avoid confusion. Domestic processing units may include, for example, small mills, Amalgamation, smelting, dredges and pumps in alluvial mining operated by family members and their Workers. Downstream Operators: These include Traders, Conveyors and Refineries. Fairtrade Precious Metals: Gold, silver and platinum from certified producers that can be used in consumer products labelled with Fairtrade International’s Fairtrade Mark. • All precious metal is certifiable as Fairtrade certified precious metal if it originates from the Internal Fairtrade Supply Chain from within a System of Production of certified ASMOs; Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 9 <!-- page break --> Back to Content •has been produced by the participating Miners; •is fully traceable through the ASMOs’ Internal Control System; •can be traded through the ASMOs; •or Fairtrade Eco Gold, Silver and Platinum: Gold, silver and platinum from certified producers that can be used in consumer products labelled with Fairtrade International’s Fairtrade Mark, that have been produced by ASMOs in compliance with the requirements for Eco Precious Metal extraction in section 3.3-3.9. Indigenous Peoples: People and groups of people that can be identified or characterized as follows: • The key characteristic or criterion is self-identification as Indigenous Peoples at the individual level and acceptance by the community as their member • Historical continuity with pre-colonial and/or pre-settler societies or traditional groups like descendants of runaway slaves having chosen to live in traditional societal setups • Strong link to territories and surrounding natural resources • Distinct social, economic or political systems • Distinct language, culture and beliefs • Form non-dominant groups of society • Resolve to maintain and reproduce their ancestral environments and systems as distinctive peoples and communities.1 Internal Control System (ICS): The ICS controls the implementation of and compliance with the agreed operational plans, internal manuals as well as legal and voluntary obligations of the ASMO. ICS includes both documental and physical control. The frequency of checks takes into consideration the level of risk an impact can have both for business activities and for the ASMOs governance. Internal Fairtrade Supply Chain: Transparent and traceable system within the ASMOs System of Production defining the origin of the Mineral and the internal processing steps leading to a product that can be sold as Fairtrade certified. It is an inclusion/exclusion system. The ASMO defines for each mining Operator whether it is included in or excluded from the Internal Fairtrade Supply Chain: A mining Operator is included in the Internal Fairtrade Supply Chain if • the Mineral extracted or processed by the mining Operator is part of the final product sold under Fairtrade terms by the ASMO • it is possible to physically trace the Ore • they agree to comply with the Fairtrade standards • they accept to be audited by the certification body A mining Operator is excluded from the Internal Fairtrade Supply Chain if • their relationship with the ASMO is not clear • they are not interested in the implementation of the Fairtrade Standards or does not agree to audits by the certification body • it is not possible to physically trace the Ore • they are part of another internal supply chain 1 Source: Adapted from United Nations Permanent Forum on Indigenous, Factsheet ‘Who are indigenous peoples’ October 2007; United Nations Development Group, ‘Guidelines on Indigenous Peoples’ Issues’ United Nations 2009, United Nations Declaration on the Rights of Indigenous Peoples, 13 September 2007). Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 10 <!-- page break --> Back to Content Directly employed member/owner Workers and hired Workers are always part of the Internal Fairtrade Supply Chain. Local Communities: Communities of any size that are in or adjacent to the System of Production and are close enough to have an impact on the System of Production, or to be affected by the activities of the System of Production. They include traditional groups and indigenous groups. Mine: a pit or excavation in the earth from which Mineral substances are taken, an Ore deposit. Miner (Generic): Every person whose main economic activity is mining. Miners can be self-employed people, individual Miners or small groups of Miners, formally or traditionally employed Workers, family business, community-based organizations like women Mineral Selectors or collectors, micro-enterprises contributing to the family economy, small enterprises and similar. Mineral(s): All rock or gravel material extracted from the Mine. According to its economic value, Mineral is classified as Ore or Waste Rock. Mineral Processing: art of treating crude Ores and Mineral products to separate the valuable Minerals from the Waste Rock, or gangue. It is the first process that most Ores undergo after mining to provide a more concentrated material for the procedures of extractive metallurgy. Mineral Selectors: Mineral Selectors are primarily women. They usually work on the surface of the Mining Area, selecting and collecting Ore from Waste Rocks, breaking the rocks with artisanal technology to accumulate free coarse gold in small amounts. In some cases, they deliver selected Minerals to the ASMO, sometimes they sell locally. There are either a) organized Mineral Selectors who operate in the area of the ASMO or b) those who are a part of the surrounding mining community which is not directly part of the System of Production of the ASMO. Mining Area: In legal terms, the area in which the owner of the Mining Right can Mine the subsoil. Mining Concession: refers to an area allocated by a government or other body for the extraction of Minerals. The terminology for these areas varies from country to country. “Concession” is used as a general term for licenses, permits, or other contracts that confer rights to private companies to manage and extract Minerals from public lands; terminology varies at the national level, however, and includes Mineral or mining "permits", "tenures", "licenses", and other terms. Mining Project: means mining carried out under 1 or more mining leases as a single integrated undertaking. Mining Right: any public or private legal right or authorization to extract Minerals within a certain Mining Area, see above, held by a legal or natural person and allows claiming ownership of the extracted Minerals and their content. Newcomer ASM: Newcomer ASM is rush mining in a ‘virgin’ place where ASM has not previously taken place or has not occurred for over a decade. It is often characterized by seemingly chaotic situations with high influx of migrant labourers. Social and physical infrastructure is inadequate to cope with the population boom, and impacts on communities and the environment may be severe with a culture of violence commonly being the means by which people secure access to the resource and discipline transgressions of site rules. However, Newcomer ASM can transform into settled, community-based mining. Newcomer ASM is out of the scope of Fairtrade certification. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 11 <!-- page break --> Back to Content Operator: Any producer, buyer, seller and Conveyor certified against this standard. Participating Miners: Miners registered by the organization. All Participating Miners (members, non- member Miners and Operators) within the System of Production of the ASMOs are registered. Only registered Participating Miners are allowed to deliver into the Internal Fairtrade Supply Chain. The ASMO is responsible for compliance with all legal and voluntary Standard requirements that apply to registered Participating Miners. The standard distinguishes several categories of Miners: •Member/Owner Miners: ASMOs can have different forms of ownership, the majority of which are artisanal and small-scale Miners. Shares of the ASMO cannot be held by Industrial Mining companies and the shareholders of an ASMO cannot hold shares of Industrial Mining. Members/owners are those Miners who have legal duties and rights and the authority in the ASMO. Their membership is legally registered with the relevant governmental authority. Members/owners have the legal responsibilities, rights and obligations and together take the decisions in the System of Production. • Worker Miners: Are those Miners who are directly employed by the Mine and have a legal contract of employment. They belong to one of the following groups: o Member/Owner Workers: These Workers are directly employed and members/owners of the ASMO. (In a Workers’ cooperative one of the main objectives of the cooperative is to provide job opportunities and social security for its members/owners.) o Hired Workers: These Workers are directly employed but are not members/owners of the ASMO. • Mining Operators: Mining Operators are natural or juristic persons who operate with the authorization of the ASMO (holder of the Mining Rights) in the ASMOs’ System of Production through an exploitation contract. A Mining Operator carries out artisanal mining activity to extract Minerals in defined and authorized areas of the Mining Concession(s) clearly identified in the exploitation contract for a given period of time. Mining Operators acknowledge the right of the ASMO as holder of the Mining Rights on the concession(s) and assume the obligations defined by law and those contracted with the ASMO clearly described in the contract. The ASMO remains legally responsible for what happens in its System of Production and has the full responsibility that the Mining Operator is in conformity with the requirements of the Fairtrade standard. Therefore, as part of its ICS, the ASMO controls compliance with and implementation of the agreement by the Mining Operator. Ore: Mineral (rock or gravel) which contains metal at an economic concentration (grade) and that is therefore suitable to be processed. Precious Metals: gold, silver and platinum found in the same mining operation of the ASMO. It can be produced from primary (hard-rock), secondary (placer) and tertiary (Tailings and spoil heaps) deposits. The definition includes gold (Au), silver (Ag) and platinum (Pt). Protected Areas: A Protected Area is a clearly defined geographical space, recognised, dedicated, and managed, through legal or other effective means, to achieve the long-term conservation of nature with associated ecosystem services and cultural values 2. 2 IUCN Guidelines for Applying Protected Area management Categories https://portals.iucn.org/library/sites/library/files/documents/pag-021.pdf Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 12 <!-- page break --> Back to Content Refiner, Refinery: A Refinery is a production facility composed of a group of chemical engineering unit processes and unit operations extracting and segregating metal from metal alloys. Refiners are also certified according to the Fairtrade Trader Standard. Rehabilitation: Rehabilitation is the process of reinstating degrees of ecosystem functionality on degraded sites where restoration is not the aspiration, to permit ongoing provision of ecosystem goods and services. (https://www.seraustralasia.com/standards/appendix1.html). Land is rehabilitated as close as possible to the conditions that existed before ASM started or suitable for intended post-mining use of the land. System of Production: It is the description of all the processes the production chain of the mining operation from Ore collection to the production of a sellable product (dóre bar). Also, it defines organizations or areas inside the operation in charge of the different tasks, as well as the volumes produced. Tailings: Waste product from Mineral Processing with a low concentration of metal. Tailings are deposited at Tailings dumps or in Tailings ponds. In some cases, Tailings can be reprocessed to recover remaining metal. If such recovered precious metal is sold under Fairtrade terms, Tailings are subject to traceability. Traceability System: Is the organized method to allow accessing all information about the gold from mining to final product by using a record system and identifications. Traceability refers to the ability to track and trace along the supply chain in a systematic manner. Tracking allows your supply chain stakeholders to follow the Precious Metal throughout its production journey, while tracing enables identification of the origins and characteristics of the Precious Metal as it progresses through the supply chain. A complete Traceability System will also include the financial flow. Specific Traceability System requirements for GSP apply. Trader: Any entity in the supply chain who buys or sells the gold (including manufacturers, processors i.e. Refiners, smelters, etc.) Waste Rock: Mineral which does not contain Mineral or contains uneconomic Mineral grades and is therefore permanently or temporarily disposed of without further processing. Workers: All waged employees of the ASMO, and of Operators in the System of Production whether they work in the Mine, in processing sites, in administration or as technical staff. It includes migrant, temporary, casual, seasonal, sub-contracted and permanent Workers. Workers hired by the Operator (indirectly employed): These Workers are formally or traditionally employed by the mining Operator. Their employment depends on the needs of the mining Operator. However, in many countries the ASMO is legally co-responsible for health and safety at the workplace. Young People: People between ages of 18 years to 24 years. Monitoring of changes Fairtrade International may change Fairtrade Standards as explained in Fairtrade International’s Standard Operating Procedures, see https://www.fairtrade.net/content/dam/fairtrade/global/how-fairtrade- works/how-we-set-standards/development-of-fairtrade- standards/SOP_Development_Fairtrade_Standards.pdf. Fairtrade Standards requirements can be added, deleted, or changed. If you are Fairtrade certified, you are required to regularly check the Fairtrade International website for changes to the standards. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 13 <!-- page break --> Back to Content Fairtrade certification ensures that you comply with Fairtrade Standards. Changes to Fairtrade Standards may change the requirements of Fairtrade certification. If you wish to be or are already Fairtrade certified, you are required to regularly check the compliance criteria and certification policies on the certification body’s website at www.flocert.net. Change history Version number Date of publication Changes 08.11.2013 v1.0 08.11.2013 First publication of standard 25.06.2026 v2.0 25.06.2026 Publication after full review of the Standard. Most requirements are amended or new. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 14 <!-- page break --> Back to Content 1 General requirements Intent: This chapter outlines the requirements that relate to the certification of your ASMO and mining Operators in your System of Production and to the scope of this standard. It ensures that fundamental safeguards are in place to comply with this standard and its intended impacts.

1.1 Certification

1.1.1 Accreditation Applies to: ASMOs-direct rights, ASM Operators Core • You have accreditation for your “artisanal or small-scale” qualification, and the written and official authorization to operate endorsed by a government agency. Year 0 • You inform the certification body annually about your qualification as an artisanal or small-scale mining operation and any changes in relation to your authorization to operate. • If the government agency accredits your status changes to medium size mining operation, you inform your buyers and the certification body immediately. • If you lose your official authorization to mining, you are not allowed to sell the Precious Metal under Fairtrade terms. Guidance: The certification body will check this requirement already during the application process. 1.1.2 Applies to: ASMOs-indirect rights Core • Your members have accreditation for their qualification as artisanal Miners and hold the written and official authorization to operate endorsed by a government agency. Year 0 • You maintain updated information in your register about the status of your members in relation to their qualification as artisanal Miners and the official authorization for mining. • If your member loses its official authorization to mining, you are not allowed to sell this Precious Metal under Fairtrade terms. Guidance: The certification body will check this requirement already during the application process.

1.1.3 Formal structure Applies to: ASMOs Core You have a legal structure, and all organisations which operate within your production system have a formal and transparent structure which can, in time, become a legal Year 0 structure under the relevant legislation. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 15 <!-- page break --> Back to Content

1.1.4 Vision and constitution Applies to: ASMOs Core You provide documentary evidence that your vision and constitution are in line with Fairtrade objectives. Year 0

1.1.5 Accepting audits Applies to: ASMOs Core You accept announced and unannounced audits of your premises, and you also contractually require subcontractors to accept audits of their premises. You provide any Year 0 information in relation to compliance with the Fairtrade Standards at the request of the certification body.

1.1.6 Fairtrade officer Applies to: ASMOs Core • You appoint a contact person responsible for all Fairtrade matters. This person is identified as the Fairtrade Officer. This person keeps the certification body and Year 0 Fairtrade International updated with contact details and important information, and acts as the liaison between Fairtrade International, the certification body, Miners, mining Operators and ASMO directors regarding Fairtrade requirements. • The Fairtrade Officer ensures the implementation and monitoring of the ASMO’s performance regarding the Fairtrade requirements. This person is a member and/or owner of the ASMO. If a person outside the ASMO, or without a direct employment relationship to it, is appointed as Fairtrade Officer, this will result in a non- compliance. Guidance: It is preferable that the Fairtrade Officer is part of the board of directors. Also, the Fairtrade Officer could be a Worker.

1.1.7 Contact person for commercial matters Applies to: ASMOs Core You designate one official contact for Fairtrade commercial matters. You ensure that your organization is in charge of the commercialization of the Precious Metal to your buyers. Year 0 Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 16 <!-- page break --> Back to Content Guidance: The Fairtrade commercial contact person oversees: • Comply with Know your Client (KYC) procedures • Negotiate and monitor compliance with the refining agreement or contracts • Act as a point of contact to organise logistics and export of the material • Set prices (important) • Report movements of the metal account, volume of gold after refining, and final prices agreed • Checking that all documents accompanying and export are completed correctly • Analyse the information on the final settlements provided by the Refinery • Responsible for the documentary traceability (handle, transport, exportation)

1.1.8 Fairtrade interaction Applies to: ASMO Core You allow Fairtrade staff, and consultants working on behalf of Fairtrade, to interact with members, Workers and all relevant actors. Year 0 Guidance: Fairtrade staff representing FI, PNs and NFOs, and consultants working on behalf of Fairtrade, support the empowerment and development of an ASMO and its members to increase their representation and participation in the global gold supply chain. These representatives should be able to meet with members, Miners and mining Operators in coordination with management. Regular work should not be disrupted.

1.2 Definition of an ASMO

1.2.1 Artisanal or small-scale Miners Applies to: ASMOs-direct rights Core • All your members are community-based artisanal or small-scale Miners. Mining is done by members and their families (children are not allowed to work, see req. Year 0 3.13.1). You have a minimum of 10 members/owners to be considered an organisation. • Furthermore, the members/owners of the ASMO: • participate in mining activities or are dedicated to the economic activities of your ASMO; • are part of the mining community; • are not shareholders of industrial mining capital; • hold equal duties, rights and economic power; • The ASMO holds the legal rights (concession rights and legal authorisation to use the land). 1.2.2 Applies to: ASMOs-indirect rights Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 17 <!-- page break --> Back to Content Year 0 • All your members are community-based artisanal Miners. Mining is done by members and their families (children are not allowed to work, see req. 3.13.1). You must have a minimum of 10 members/owners to be considered an organisation. • Furthermore, the members/owners of the ASMO: • participate in mining activities; • are part of the mining community; • are not shareholders of industrial mining capital; • hold equal duties, rights, and economic power; • hold legal rights (authorisation to operate). 1.2.3 Applies to: ASM Operators Core ASM Operators are family business or small societies with fewer than 10 members/owners. The ASM Operator has concession rights and legal ownership of the land, and the ASM Operator is identified as local business. Year 0 You are community-based artisanal or small-scale Miners. Mining is done by members and their families (children are not allowed to work, see req. 3.13.1), partners and hired Workers. Furthermore, the members/owners of the ASM Operator: • participate in mining activities or are dedicated to the economic activities of your ASM Operation; • are part of the mining community; • are not shareholders of industrial mining capital; • hold equal duties, rights, and economic power.

1.2.4 Defining membership and member information Applies to: ASMOs Core You can clearly identify who is a member of your ASMO. You have written rules to determine who can become a member and you keep an updated record of your members. At a Year 0 minimum, member records include name, contact information, gender, date of birth, amount of share-holding capital, and date of registration with your ASMO. This record is updated at least every 12 months. Guidance: Keeping records helps to improve your management practices, to have a better and up-to date overview of your organisation and to gain understanding of members.

1.2.5 Register of Miners Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 18 <!-- page break --> Back to Content Year 0 You register and keep a record of all Miners working in your System of Production, including the Mining Area (Mining Rights, land rights and respective concession numbers) and all mining works (e.g. pits, processing units) that contribute to the Internal Fairtrade Supply Chain. For each registered Miner, you record at least: • name; • date of birth; • matrimonial status; • number and birth date of dependents; • legal document/identity card number; • name of the mining Operator to which they belong; • start date working in the System of Production; • their function, role, duties and rights in the System of Production • type of working contract, working hours per week and income (in cash or in kind) per week. • reason why they have registered with the ASMO Guidance: The registration of individuals follows the admission principles of the internal regulations of the ASMO, in which admission and exclusion criteria of individuals are defined in requirement 1.2.6 below. While it is your responsibility and in your own interests to avoid non-registered Miners, community relations often limit the potential of sanctions against individuals who refuse to obey the rules. You cannot be held responsible for non-registered Miners who engage in Mineral extraction, but who refuse to register or follow ASMO internal regulations, if you have no legal authority over them.

1.2.6 Admission and exclusion rules Applies to: ASMOs Core You have clear and documented admission and exclusion rules for registration in your System of Production in place. You make all efforts to minimize the need for exclusions, and Year 0 you do not exclude persons, areas and in particular production units or processes in a discriminatory way or to minimize the efforts to reach standard compliance of its production process. Guidance: Exclusions from your scope should be defined based on the criterion of whether you can or cannot control and take responsibility over persons, areas and production units (processes). The rules should be transparent and accessible (public) for interested Miners/parties.

1.2.7 Defined geographical boundaries Applies to: ASMOs Core You have clearly defined geographical boundaries. Year 0 Guidance: Your geographical boundaries, which you define, must be local to the centres and region of production under your direct influence. The boundaries help ensure that members are fully aware of and committed to the goals and regulations of the organization. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 19 <!-- page break --> Back to Content

1.3 ASMOs and Traders responsibilities Intent: The intent of this section is to ensure that the ASMOs and the mining Operators in its System of Production and Traders abide by all legal obligations under national and international conventions. This section also gives guidance to ASMOs and Traders on how to handle mining responsibly, particularly in the context of conflicts-affected and high-risk areas. The ASMOs have a responsibility to the mining Operators in its System of Production and to any third-party Operator they work with. Mining can take place in or could support current or latent conflict-affected zones, or in areas marked with political instability. This can lead to instability or violence that can affect the lives of Miners and their communities, and in worst cases, lead to human rights abuses. Therefore, this section provides guidance on how to identify and assess potential risks and remediate effects. This guidance is based on the OECD “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict Affected and High-Risk Areas” (OECD Guidance), which is the most widely recognized due diligence framework for Minerals sourced from conflict zones (http://www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals- Edition3.pdf).

1.3.1 No support to non-state armed groups Applies to: ASMOs Core You do not provide direct or indirect support to non-state armed groups or their affiliates. You do not directly or indirectly cause, tolerate or benefit from any acts of armed violence or Year 0 serious human rights abuses such as human trafficking and slavery. Guidance: According to the OECD Guidance, “direct or indirect support” to non-state armed groups or their affiliates includes making payments to them or providing them with any kind of financial support, or logistical assistance or equipment.

1.3.2 Anti-corruption policy Applies to: ASMOs and Traders Core You have an anti-corruption policy. This policy strictly forbids bribery, fraud, money laundering, illegal taxation or extortion. This policy includes remediation measures if Year 0 corruption is uncovered, and measures to avoid recurrence.

1.3.3 Taxes, fees, royalties and other tributes Applies to: ASMOs Core You pay taxes, fees, royalties and other tributes to the relevant authorities, as required by the applicable legislation. Year 0 Guidance: This relates to extraction, trade, transport and export.

1.3.4 Anti-money laundering policy, practices, and procedures Applies to: ASMOs and Traders Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 20 <!-- page break --> Back to Content Core You establish and implement an anti-money laundering policy. This policy is linked to specific and proportionate procedures and practices, to prevent the possibility of money laundering Year 1 connected to extraction, trade, handling, transport and export of Fairtrade gold and/or Precious Metals. You implement a system, including a risk analysis, to ensure financial traceability. There is no indication that members of the board of directors have been legally convicted for money laundering. Guidance: Proportionate procedures and practices would be assessed according to the risks inherent in any given activity. ASMOs with indirect rights should promote prevention practices among their members and carry out random on-site checks without prior notice. Traders should take the same approach with their suppliers. Members who are facing a judicial process for money laundering cannot be members of the board of directors. For example: some of the risk associated at the ASMO level are: • introduction of Mineral/material that do not correspond to the Mining Concession for which Mining Rights have been granted. This is exacerbated if the Minerals come from illegal mining or are controlled by criminal organisations. • Financial mechanisms to conceal the illicit origin of funds. • Lack of transparency or justification of the origin of funds used to finance mining operations and investments. • Failure to comply with legal obligations related to the prevention of money laundering. • Lack of transparency around the ownership of companies: hiring services from companies that belong to the same person but are registered or incorporated as a new company on a regular basis, or frequently change the names of their representatives or directors, even though management remains in the hands of the same person or group of people.

1.3.5 Compliance Officer Applies to: ASMOs and Traders Core You appoint a Compliance Officer, who ensures that you comply with laws, internal policies and procedures, and external regulations to prevent money laundering. Year 3 The Compliance Officer’s responsibilities are clearly defined. They focus on monitoring the proper implementation and operation of money laundering prevention systems, can carry out their duties with autonomy and independence, and you fully support their role. Guidance: In countries where the appointment of the Compliance Officer is mandatory, their responsibilities are generally defined by law. The core function of the Compliance Officer is to anticipate any potential violations. Among their main duties and responsibilities are: to perform periodic risk assessments; update the organisation about relevant laws and regulations and monitor their compliance; review and analyse traceability reports and records; monitor financial information; analyse financial statements; and in the event of unusual or suspicious operations, to report them to the relevant authority. Generally, the Compliance Officer is appointed by the ASMO board of directors and is the contact person for relevant regulators, supervisors and government departments. Their role and profile will generally be defined by the relevant legislation to ensure they are able to fulfil their legal functions. The compliance officer role and the Fairtrade officer role can be held by one person. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 21 <!-- page break --> Back to Content

1.4 Relationship with Local Communities Intent: ASMOs activities might interfere with the broader Local Communities3. Especially if indigenous groups are living in the area permanently or are using the area or the resources temporarily, their rights must be respected. ASMOs shall therefore contribute to maintaining or enhancing the social and economic well-being of Local Communities and identify and uphold their legal and customary rights to ownership, use and management of land, territories and resources affected by the ASMO activities.

1.4.1 Identification of Local Communities Applies to: ASMOs Core You identify Local Communities, including indigenous groups that are affected by your activities. Year 0

1.4.2 Binding agreements with affected communities Applies to: ASMOs Core If you identify Local Communities that can be affected by your mining activities, you set up a binding agreement through Free, Prior and Informed consent. The agreement defines Year 0 duration, provisions for renegotiation, renewal, termination, economic conditions and other terms and conditions. The agreement makes provisions for monitoring by Local Communities of your compliance with its terms and conditions.

1.4.3 Protection of land rights Applies to: ASMOs Core If you identify Local Communities that can be affected by your mining activities, you identify, recognize and protect their customary and legal rights of land tenure, access to land Year 0 resources and territories, through an engagement process. For Indigenous groups in particular, you are in full alignment with the ILO Convention C169 (Indigenous and Tribal Peoples Convention), Part II and the “Voluntary Guidelines on the Responsible Governance of Tenure as defined by the Committee on World Food Security- Food and Agricultural Organization in May 2012 (http://www.fao.org/nr/tenure/voluntary- Guidelines/en/) Guidance: “Legitimate right to land use” means that the ASMOs have appropriate official documentation demonstrating legal rights to the land. Disputes on land are resolved responsibly and transparently before certification can be granted. In cases where land claims and disputes are on-going, there is evidence that a legal resolution process is active.

1.4.4 Sites of special significance Applies to: ASMOs 3 Local Communities include traditional groups that are not indigenous, who do not self-identify as indigenous and who affirm rights to their lands, forests and other resources based on long established custom or traditional occupation and use (Source: Forest Peoples Programme (Marcus Colchester, 7 October 2009)) Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 22 <!-- page break --> Back to Content Core Through engagement with Local Communities, you identify sites which are of special cultural, ecological, economic, religious or spiritual significance and for which these communities hold Year 0 legal or customary rights. You and your management recognise and/or protect these sites through engagement with these Local Communities.

1.4.5 Traditional knowledge Applies to: ASMOs Dev You uphold the rights of Local Communities to protect and utilize their traditional knowledge and compensate them for the utilization of such knowledge and their intellectual property. A Year 6 binding agreement exists between you and the Local Communities for such utilization through Free, Prior and Informed Consent and is consistent with the protection of intellectual property rights. Guidance: Traditional knowledge (TK) is knowledge, know-how, skills, and practices that are developed, sustained and passed on from generation to generation within a community, often forming part of its cultural or spiritual identity. (World Intellectual Property Organization WIPO)

1.4.6 Identification of vulnerable groups Applies to: ASMOs Dev You identify vulnerable groups (e.g. women Mineral Selectors, Young People, migrants, people with disabilities, etc.) in your System of Production. Year 3 You identify and describe their role in your System of Production. If you are an ASMO with indirect rights, you keep information about: members who are identified as vulnerable people how they work (e.g. time allocated for mining activities) Guidance: In any organisation or society, some groups of people are disadvantaged. This is typically based on differences in observable characteristics or practices, such as ethnicity, race, religion, disability or sexual orientation. Groups especially vulnerable to human rights abuses and structural discrimination include (but are not limited to) women and girls; children and Young People; migrant Workers and /or internally displaced persons; stateless persons (without identification papers); national minorities; Indigenous Peoples; lesbian, gay and transgender people; and persons with disabilities. The Standard aims to engage self-employed women Mineral Selectors and support them to access Fairtrade supply chains. If self-employed women Mineral Selectors do not feature in your System of Production, they are nonetheless a priority group. You are expected to provide direct support to them as part of the activities implemented in the mining community. These activities could be reflected in the Fairtrade Premium development plan (see section 4.1). You commit to protecting and safeguarding information about vulnerable groups and avoid any kind of discrimination based on this information. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 23 <!-- page break --> Back to Content

1.4.7 Local sustainable development Applies to: ASMOs Dev You actively participate in planning and promoting local sustainable development. This includes actively engaging with entities and people including in areas that are not part of Year 3 the System of Production but are part of the surrounding overall mining community. Guidance: In the surrounding mining community that is not part of the System of Production, you may for example: collaborate with other community groups and their authorities to monitor and sustainably manage forest areas within your area of influence, or to define the Protected Areas; develop efforts to monitor the situation of vulnerable groups (including for example women, children, Young People, migrants, etc.); or develop efforts to monitor and campaign against amalgam burning within inhabited areas, and only within well-defined sites promote the development of Climate Resilience projects in your communities. 2 Trade Intent: This chapter outlines the rules you need to comply with when you sell Fairtrade certified gold and Precious Metals from your organization or company. Your final Fairtrade or Eco Fairtrade labelled consumer products may include any product made from pure or alloyed Precious Metal, for example: • jewellery and semi-finished jewellery components • watches • coins, ingots and bullion products of commemorative and/ or financial nature • medals and trophies; and • religious artefacts. Mobile phones or other technology products may contain blended Fairtrade precious metal components. Such products cannot be labelled as Fairtrade, but you may claim this in your communication – see Gold Sourcing Program communication guidelines. All Traders also have to comply with the Fairtrade Trader Standard, which can be found at https://www.fairtrade.net/content/dam/fairtrade/fairtrade-international/standards/trader- standards/TS_EN.pdf. In cases where this standard differs from the Fairtrade Trader Standard, the requirements presented in this standard apply.

2.1 Traceability Intent: Traceability requirements are intended to protect certified Operators and consumers through the Fairtrade certification, labelling and stamping scheme. Requirements in this section ensure that the authenticity of Fairtrade Precious Metal can be verified, traced back to the Miners through documentation, and that the product is physically segregated and identifiable from non-Fairtrade products at any stage. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 24 <!-- page break --> Back to Content Physical and/or documentary traceability requirements assure the customer that the correct quantity of Fairtrade Precious Metal was Mined according to this standard by one or more ASMOs, and that the purchase of the consumer product provides direct benefits to the ASMOs. Under the Gold Sourcing Program (GSP), Fairtrade Precious Metal is physically traceable from a certified ASMO up to the point of refining. Under GSP, Fairtrade certified Precious Metal can be blended with non- certified Precious Metal from another origin. The GSP shall support the development of a volume market for ASMOs, and secure maximum benefits through the payment of the Fairtrade Premium and minimum Price. This supports the access to markets for ASMOs which lack own processing facilities. Fairtrade Precious Metal is not permitted to be labelled as Fairtrade on the product or packaging under the GSP. This section also intends to give guidance to Traders on how to source from responsible mining organizations, particularly in the context of conflict-affected and high-risk areas (http://www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals-Edition3.pdf). Mining can take place in or could support current or latent conflict-affected zones, or in areas marked with political instability. This can lead to instability or violence that can affect the lives of Miners and their communities, and in worst cases, lead to human rights abuses. Therefore, this section provides guidance on how to identify and assess potential risks and remediate effects. This guidance is based on the OECD “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict Affected and High-Risk Areas” (OECD Guidance), which is the most widely recognized due diligence framework for Minerals sourced from conflict zones (http://www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals- Edition3.pdf).

2.1 Traceability up to exportable product

2.1.1 Traceability System and Records Applies to: ASMOs Core You implement in your System of Production (including mining Operators), a Traceability System covering the entire production process from Mineral extraction, processing, handling Year 1 and transport of your Precious Metal until it is no longer in your ownership. The Traceability System offers the capacity to: • systematically track and trace; • document or record the product flow; • record reliable, accurate, detailed, organised and systematic information. Your Traceability System is a key component of your ICS. Guidance: A well-organised Traceability System allows access to all information about your Precious Metal (Fairtrade and non- Fairtrade) throughout its life cycle from extraction to melting by using a recording and identification system. Tracking allows your supply chain stakeholders to follow the Precious Metal throughout its production journey, while tracing enables identification of the origins and characteristics of the Precious Metal as it progresses through the supply chain. A complete Traceability System will also track and trace the financial flow when the Precious Metal is sold.

2.1.2 Physical segregation of Minerals and Precious Metals Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 25 <!-- page break --> Back to Content Year 0 Precious Metals sold as Fairtrade come from your System of Production. Precious Metal, metal Ore, Minerals, concentrates and Tailings from non-registered Miners or Mines are kept separate from Fairtrade Precious Metal and are not sold as Fairtrade Precious Metal. The entire volume of Precious Metal (in particular Fairtrade Precious Metal) from your production system is physically traceable from extraction, concentration and processing to the point at which the product is sold. Joining, blending or consolidating two or more certified volumes of Mineral or intermediate products from two or more certified ASMOs is allowed if the Fairtrade certified Minerals are not mixed with non-certified Mineral. Guidance: To guarantee the traceability of the Minerals and prevent the introduction of non-certified material into your supply chain, you set up and use an ICS or Traceability System which proves the origin of the Ore, concentrates and final products.

2.1.3 Physical traceability in case of owned processing Applies to: ASMOs Core If you (or your members) own equipment for Mineral Processing, or if you (or your members) lease or hire equipment for Mineral Processing owned by a third party, you ensure complete Year 0 physical traceability of the Precious Metal. Your Traceability System includes a description of the physical traceability process (this can be an annex); and you maintain all records, reports and evidence of the process in chronological order.

2.1.4 Physical Traceability System in processing facilities Applies to: ASMOs Core All processing facilities have a documented physical Traceability System available on site. All data is documented in a central Traceability System. Minimum requirements are: Year 3 • A list of all Miners and processing units delivering Precious Metal, Minerals and Tailings to the processing facility, signed by the person responsible and including their identity card number • Delivery date • Amount delivered • Area of origin (name, description) assigned by you to the Miners’ groups • Precious Metal content • Laboratory results (if applicable) • Internal traceability reports. Internal traceability reports kept by a processing facility include: • A lot/batch code generated when the Precious Metal, Minerals and Tailings enter, together with a record of the net weight. • Records of changes in the lot/batch identification when Precious Metal, Minerals and Tailings are processed. • Records of laboratory analysis of Precious Metal content. • Records of any lots/batches combined into one new lot/batch. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 26 <!-- page break --> Back to Content Guidance: The list in the requirement is not exhaustive. More elements can be added depending on the needs of the ASMO.

2.1.5 Traceability of transactions Applies to: ASMOs, Traders Core You keep transparent and verifiable records of all your transactions, which are documented and fully traceable. Year 0 For Fairtrade Precious Metals destined for Fairtrade labelled products, you comply with the requirements on physical traceability for each transaction. You ensure that financial operations linked to Fairtrade transactions are recorded in the formal financial system and are not paid in cash. You have implemented a proper and transparent accounting system and reliable financial procedures to guarantee money traceability. Guidance: This requirement applies to traceability during accumulation, trade, transport and export, including a date and unique reference number for each input and output. To check the financial traceability, the 1st invoice to the Refinery, the 2nd invoice after the preliminary assay is done and the final settlement invoice should be available.

2.1.6 Documentary traceability Applies to: ASMOs and Traders Core In addition to physical traceability, documentary traceability is ensured by any Operator at any point of the supply chain by using an identification mark on all related documentation. Year 0 You clearly indicate traceability with an identification mark on all related documentation (such as contracts, delivery notes and invoices). You ensure that you and the certification body can trace: • the seller of the product • the physical form of the product at the time of transaction (purchase and sale) • alterations performed and relevant yields • disposals • quantities bought and sold (one up – one down) • dates of transactions • proof of payment of Fairtrade Minimum Price, Fairtrade Premium, Eco Premium, and pre-financing (where applicable). Guidance: You document (on paper or in your electronic system) all Fairtrade transactions from supplier to buyer, and the segregated management and processing within your organisation.

2.1.7 Traceability in case of third-party processing plant Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 27 <!-- page break --> Back to Content Year 0 If you contract third-party Operators to process your Minerals or to perform further enrichment of intermediary products, you comply with all physical traceability requirements. In this case, your Traceability System describes the physical traceability process of the third- party Operator. Third-party Operators do not act as a first buyer with an obligation to pay the Fairtrade Minimum Price and Premium. Third-party Operators are Fairtrade certified under the Fairtrade Trader Standard. Guidance: It is your responsibility to sign a legally binding contract with the subcontracted service provider. You maintain all the records, reports and evidence of the process to ensure the integrity of your material.

2.1.8 Sales and/or trade of Eco Fairtrade Precious Metals Applies to: ASMOs producing Eco Precious Metals Core You are only allowed to sell Eco Fairtrade gold or Precious Metal after the certificate is issued. Additionally, you need a contract with your buyer for volumes of Eco Fairtrade gold Year 0 and Precious Metals. For shipment you mark your doré-bar as “Eco Fairtrade”. If you do not have a contract for Eco Fairtrade gold or Precious Metal, you may still sell the gold as Fairtrade. Tailings from Precious Metal classified as Eco Precious Metal may be sold to industrial third- party plants outside your System of Production for further processing. If the gold or Precious Metal from these Tailings is finally sold as Fairtrade, it must be physically traceable. Eco Fairtrade gold or Precious Metal provided by specific Internal Fairtrade Supply Chains within your System of Production is allowed if: • traceability is ensured • you have a geographically separate concession or clearly separated geographical Mining Areas • the mining Operator can produce an exportable doré-bar from their extracted gold or Precious Metal.

2.1.9 Traceability in case of Eco Precious Metals Applies to: ASMOs producing eco Precious Metals Core For Eco Fairtrade gold, both physical and documentary traceability are identified as Eco in production records on product coding or identification systems and documents such as Year 0 contracts, delivery notes and invoices.

2.1.10 Traceability in refining Applies to: Refiners Core You source only freshly Mined or reprocessed gold that is physically traceable. You report sourcing and sales volumes as well as stocks and reprocessed volumes. The Year 0 same principle applies to any other Fairtrade certified Precious Metals. Guidance: You report sourcing and sales volumes to Fairtrace. Stocks as of 31 December of each year and reprocessed volumes are reported to reporting@fairtrade.gold Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 28 <!-- page break --> Back to Content

2.1.11 Traceability in manufacturing Applies to: Traders Core Any Fairtrade certified Precious Metal used in the manufacture of a Fairtrade certified semi- finished or final consumer product is physically segregated and traceable. Year 0

2.1.12 Traceability in the Gold Sourcing Program Applies to: Traders Core Fairtrade Precious Metal is physically traceable from a certified ASMO up to the point of refining. Identification of GSP gold is included in all relevant documents (e.g. contracts, Year 0 delivery notes, and invoices). Under GSP, Fairtrade certified Precious Metal can be blended with non-certified Precious Metal. Blended Precious Metal can be sourced for further manufacturing by Operators with a specific GSP license contract, which includes an annual sourcing commitment and relevant communications guidelines. Reported GSP volumes are subject to verification by the certification body. Guidance: Reporting GSP volumes is explained in the licensing contract. For gold sourced under GSP, you verify the compliance with the physical traceability requirements for each transaction from the ASMO to the Operator where the Precious Metal is blended.

2.1.13 Fairtrade Premium payments indication Applies to: Payers, Trader Core Fairtrade Premium and Fairtrade Eco Premium payments are indicated on a separate line on all invoices throughout the supply chain, to ensure transparency. Year 0

2.1.14 Reprocessing of Fairtrade Gold Applies to: Refiners Core Reprocessing of Fairtrade gold is possible in the following cases, if it is acceptable following due diligence by the Refiner and if traceability is ensured. Year 0 from your licensed business partner: • ingots (24K) • stock in form of grains, semi-finished products or bars from certified manufacturers: • scrap (alloy) from the production of intermediate or final products • scrap (alloy) from casting • gold (alloy or 24K) no longer needed in the production process If Fairtrade gold is reprocessed, the Refinery issues a credit note to the client for the amount of the Fairtrade Premium. The credit note will be deducted in the next invoice. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 29 <!-- page break --> Back to Content Guidance: Traceability is understood as in requirements “Traceability of transactions”, and “Documentary Traceability”. The standard refers to reprocessed gold produced from any product containing more than 2% of gold in weight with the purpose of changing its state (e.g., bullion melted to create jewellery, jewellery melted to become a bar being sent to a Refinery, unsold or used or broken jewellery being melted to create new jewellery or a different type of product, sputtering targets, manufacturing scraps, …).

2.2 Product composition Intent and scope: While the scope of this standard covers exclusively Fairtrade Precious Metals, the product that bears the FAIRTRADE Mark is the final consumer product, which, with exception of pure gold bars or coins, usually contains other non-Fairtrade metal components in the Alloy than only the certified Precious Metals. The intent of this section is that the certified Precious Metal is a significant component of the labelled final consumer product.

2.2.1 Minimum caratage Applies to: Traders Core The minimum caratage of Fairtrade certified Precious Metal used in your semi-finished or final product complies with the national legislation of the country in which they are being sold. Year 0 Products also conform to the internationally recognised product description laid out in the World Jewellery Confederation, ‘BLUE Book – Precious Metals Book – terminology and classification’.

2.2.2 Jewellery and watches components Applies to: Traders Core You are permitted to use non-certified metals in the following components of the final piece of jewellery, provided it does not exceed 15 percent of the total Fairtrade certified Precious Year 0 Metals content by weight on the finished jewellery item: • earring scrolls • catches (bolt rings, trigger clasps, swivels, bayonets) • chains • brooch backs, joints and pins • solder and alloys • watch hands Guidance: If you are attempting to source any other gold/Precious Metal components into your finished piece which cannot be sourced as Fairtrade, you contact info@fairtrade.gold for further advice. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 30 <!-- page break --> Back to Content

2.2.3 Metal composition Applies to: Traders Core The Fairtrade certified Precious Metal component used in the alloy of your labelled final consumer product constitutes one hundred percent of this metal. Mixing with the same non- Year 0 Fairtrade metal is not allowed. The Fairtrade certified Precious Metal content of any Fairtrade labelled finished product is at least 20 percent of the total weight. Items plated, vermeiled, filled or gilded with Fairtrade gold (where a thin decorative layer of gold has been applied) cannot be labelled as Fairtrade unless the underlying material is Fairtrade certified without the plating. Guidance: Fairtrade gold sourced under GSP may be used for any purpose including gilding or electro-plating. You may communicate about such gold in accordance with GSP communication guidelines. As with all other types of bullion bar, gold ingots are required by the London Bullion Market Association (LBMA) to contain more than 99.5 percent pure gold.

2.3 Responsible sourcing and market information Intent: Trading in Precious Metals is a matter of trust. Long-term relationships between Miners and buyers under clear rules, and openly exchanged sourcing and production plans, allow building these mutual trust relations – and enable the ASMOs to improve their operations in the long-term. Contracts between the ASMOs and buyers set the framework for Fairtrade trade operations. It is important that the contractual obligations are mutually agreed, well documented, and clearly understood by the contracting parties.

2.3.1 No support to non-state armed groups Applies to: Traders Core You do not provide direct or indirect support to non-state armed groups, public or private security forces which illegally control Mines, Traders, other intermediaries or transport routes Year 0 through supply chains, or which illegally tax or extort money or Minerals through supply chains. You do not directly or indirectly cause, tolerate or benefit from any acts of armed violence or serious human rights abuses (such as human trafficking and slavery) in your own operations or supply chains. Guidance: According to the OECD guidance, “direct or indirect support” to non-state armed groups or their affiliates includes making payments to them or providing them with any kind of financial support, logistical assistance or equipment. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 31 <!-- page break --> Back to Content

2.3.2 Conflict Minerals and human rights policy Applies to: Traders Core The conflict Minerals and human rights policy includes as a minimum the following principles, stating that they apply both within the Operator’s own operations and those of its Year 0 subcontractors: • No abuses, torture, cruel or inhumane treatment • No forced or compulsory labour • No worst forms of child labour • No human rights abuses and violations such as sexual violence • No war crimes, crimes against humanity, genocide or other serious violations of international humanitarian law • No direct or indirect support of non-state armed groups • No direct or indirect support of private or public security forces illegally controlling the Mine sites • No bribery, or money laundering • No fraudulent misrepresentation of origin of Minerals • This policy includes information on the due diligence measures to be conducted to ensure its application.

2.3.3 Transport control procedure Applies to: Traders Core Your conflict Minerals and human rights policy includes or refers to a procedure regulating control of the gold and Precious Metal during transport. Year 0 Guidance: This procedure is meant to ensure that there are no violations during transportation and within transportation routes such as extortion, illegal taxation and smuggling. Traceability technologies and geo-localization system can be used.

2.3.4 Risk assessment in the supply chain Applies to: Refiners Core Through engagement with Miners, you prioritize and further assess at least three risks that are most salient to your supply chain, including direct or indirect financing or supporting of Year 0 non-state armed groups, money laundering or financing terrorism in your priorities; if Fairtrade or another reliable source has indicated these as a risk in your country and areas of production. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 32 <!-- page break --> Back to Content Guidance: You consider external data and research, and/or consult independent expertise (governments, civil society, national human rights institutions and relevant multi-stakeholder initiatives) to regularly assess the risk of human rights violations in origin region of the products you purchase. To detect and assess these risks, you may perform supply chain due diligence using different indicators or information sources, such as: • ‘Red flags’ listed in the OECD DDG • The Conflict Barometer produced by the Heidelberg Institute for International Conflict research • UN Security Council Resolutions and Peacekeeping Operations • US State Department Conflict Minerals Map and associated reports required by the Dodd Frank Act. Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Act of 2010 • US State Department Country Reports on Human Rights Practices. • Geneva Academy indicators for conflict- affected and high-risk areas If it exists, this information may be passed on to the ASMO (see requirement 3.2.9), but you are still responsible for due diligence on conflict-Minerals, as laid out on this requirement. This requirement complements requirement 3.2.1 Risk Assessment in the Fairtrade Trader Standard.

2.3.5 Informing of due diligence measures Applies to: Refiners Core You inform your commercial partners upon request about the due diligence and risk management measures you have implemented to raise awareness of human rights and Year 1 environmental sustainability. This report does not contain commercially sensitive or confidential information, nor information which creates a security risk for the Trader. A non- disclosure agreement may be signed. Guidance: This requirement complements Trader Standard requirement 3.1.3 Awareness raising.

2.3.6 Risk management Applies to: Traders Core If, after completing requirement 2.3.4, you: • identify that you purchase the gold or Precious Metal from a supplier located in a Year 1 conflict-affected or high-risk area; • detect risks regarding the direct or indirect financing or support of non-state armed groups, or illegal activities within your own operations; then you put a risk management system in place. This includes: • assigning a senior staff member as responsible for managing the due diligence on direct or indirect support of conflicts and of human rights abuses; • conducting regular risk assessments as per the requirement above; • conducting unannounced spot-checks of all areas and facilities in your supply chains; and • conducting regular awareness-raising sessions with staff on how to report on eventual conflict-related issues or human rights abuses. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 33 <!-- page break --> Back to Content

2.3.7 Support for Miners on Human Rights and Environmental Due Diligence Applies to: Payers, Refiners, Traders Core You support ASMOs to set up preventive measures and/or appropriate remediation projects (see 3.2.7). You participate in the ASMOs’ remediation efforts. Year 3 Guidance: This requirement complements Trader Standard requirement 3.3.6. Examples of support to the ASMOs: • Hiring of specialists • Sharing the cost of hiring a specialist • Share experiences or examples of good practices • Explain/train how to manage risk • Help to build alliances

2.3.8 Signed agreements Applies to: ASMOs and Traders Core You sign legal agreements with your immediate suppliers and buyers that guarantee the transparency of all Fairtrade transactions. Year 0 The agreement contains all terms negotiated between the parties, defines the type of relationship and sets out the role and responsibilities of each.

2.3.9 Fairtrade production sourcing plan Applies to: ASMOs and first buyer Core At the beginning of each year, you and your first buyer sign a Precious Metal sourcing plan specifying the volume of Fairtrade Precious Metal sales and/or purchases throughout the Year 0 coming year. This annual Precious Metal sourcing plan becomes part of your contractual refining agreement, which includes a specific provision in this respect. Guidance: In case the contractual agreement is longer than a year, a fixed Fairtrade sourcing volume may be agreed for the duration of the contract, e.g. per month or per quarter; or you may agree to define the Fairtrade sourcing plan annually. Signed agreements need to be fulfilled. Therefore, you may not make changes to the volumes specified in a current, signed agreement, even if another buyer makes you a better offer, unless it is mutually agreed by the contracting parties. Reasons for changing the terms of a signed agreement while it is still in force could include those beyond the influence of the parties, such as a drop in Precious Metal content, closure of operations due to a pandemic, heavy rain, landslides or similar.

2.3.10 Content determination and arbitration procedures Applies to: ASMOs and Traders Core You define the Precious Metals content determination and arbitration procedures in the purchase contract in line with existing practice in the sector. Year 0 Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 34 <!-- page break --> Back to Content

2.3.11 Trial period Applies to: ASMOs, payers, first buyers, Refiners, Traders Core For new trading relationships, the certified ASMO and the buyer may agree on a trial period. This trial period is clearly defined in a contract agreement and is in line with standard Year 0 industrial practice and/or regulation. This trial period does not exceed three consignments. In the case of a “failed delivery report” or “non-conformity” filed by a buyer, a new trial period may be agreed between the buyer and the ASMO, which does not exceed three consignments. Guidance: After a trial period, ASMOs and buyers are encouraged to negotiate and agree a long-term contract with a pre- financing clause. See 4.4.2

2.3.12 Trade through third-party Operator Applies to: ASMOs Core You may contract a third-party Operator (service provider/conveyer) if this is permitted by law and agreed with your buyer. The third-party Operator may implement and administer all legal Year 0 obligations required for trade and export (e.g. customs) on your behalf. Third-party operators who convey the Fairtrade Minimum Price and Premium are certified.

2.3.13 Shipment orders Applies to: Traders, Importers Core Shipment announcements or shipment orders specify the quantity of Precious Metal per shipment. Year 0 Guidance: The assumed purity and value of the Precious Metal is declared in the shipment documents.

2.3.14 Bonded agreements Applies to: Traders Core You do not make the purchase of certified Precious Metals conditional on the sale of a quantity of non-certified product under terms that are distinctly disadvantageous to the Miners. Year 0

2.3.15 Formal financial control Applies to: ASMOs Core You have formal financial control over all the operations of your organisation. All financial transactions are traceable, including those relating to the Internal Fairtrade Supply Chain, Year 1 suppliers and Workers. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 35 <!-- page break --> Back to Content Guidance: As a best practice, all payments should be made via the financial system, all Miners should have a bank account to receive payments from their ASMO, and mining Operators should have a guide for financial practices.

2.3.16 Report of transactions to Miners, ASMO - indirect rights Applies to: ASMOs-indirect rights Core The ASMO shares a report with the Board of Directors detailing all transactions of the ASMO and of its Operators with buyers. Year 1 The report includes: • date of transaction • volume of Precious Metal sold • assay result • volume(s) and price(s) fixed • amount of applicable Fairtrade Premium received • dates of payments • any deductions (e.g. commission, transport etc.) • names of individual mining Operators • names of buyers Guidance: The price depends on the purity and the date of transaction. Usually there is a down payment on the purity estimated by the ASMO and a later, final payment by the buyer after assay. The LBMA price may vary between these payments, meaning different prices may apply to the same transaction.

2.3.17 Trading with integrity Applies to: ASMOs Core There are no indications that you or your members deliberately circumvent the standard. Year 0 Guidance: This refers to manipulative behaviour to prevent mandatory provisions in the standard from applying to members or organizations. For example: • Avoid informing or sharing with partners the final settlements sent by Refiners, including laboratory results and prices set. • Avoiding that trade activities are transparent, properly documented, verifiable and available to be audited. • Unfair labour practices like micro aggression, denying certain Workers access to training or development, subtle harassment like targeting specific Workers to push their resignation, unilateral changes without consulting Workers or their representatives, retaliation. • Lack of documentation and predominance of informal practices. • Unfair disciplinary actions.

2.4 Use of the Fairtrade certification mark

2.4.1 Authorization to use the FAIRTRADE Mark Applies to: Traders Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 36 <!-- page break --> Back to Content Year 0 You have authorization from Fairtrade International or a National Fairtrade Organization to use the FAIRTRADE Mark on the final product.

2.4.2 FAIRTRADE mark on label or stamp Applies to: Traders Core • The label and/or stamp and/or laser engraved on the final consumer product indicates clearly that the Precious Metal component in the alloy is certified as Fairtrade gold, Year 0 silver or platinum, in line with Fairtrade International labelling rules for Precious Metals. • Labelling, stamping or laser engraving with the Fairtrade Mark is not allowed if physical traceability cannot be guaranteed - for example if the Precious Metal component originates under GSP (blended). Guidance: Products made by registered Fairtrade Goldsmiths will follow the “Fairtrade Mark Guidelines for Registered Goldsmiths”.

2.4.3 Fairtrade Gold Mark Use Guidelines Applies to: Traders Core All artwork with a FAIRTRADE Mark on any product packaging and in any other communications complies with the applicable “Fairtrade Gold Mark Use Guidelines” and is Year 0 approved in writing prior to use by a National Fairtrade Organization or by Fairtrade International. Guidance: Artwork can be product packaging and promotional materials as well as any print (brochures) and electronic media (websites). For further explanation and guidance, you can contact the Fairtrade Artwork Coordinator directly: artwork@fairtrade.net

2.4.4 Artwork approval Applies to: ASMOs Core If you use any of the Fairtrade Marks on your external promotional material (such as brochures, websites or digital materials) you register through this platform: Year 0 https://fairtradeinternational.my.site.com/artworkapproval/s/, where your request will be processed. Guidance: If you need assistance, please contact artwork@fairtrade.net. Fairtrade International encourages producers to use the Fairtrade Marks in line with the “Fairtrade Mark Guidelines” to protect its integrity.

2.4.5 Communication policies in Gold Sourcing Program Applies to: Traders Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 37 <!-- page break --> Back to Content Year 0 If you purchase Fairtrade Precious Metals under GSP, you conform to the GSP communication guidelines, and the communications policies stipulated in any contractual agreements with Fairtrade International or authorised licensing partners. Guidance: Products resulting from GSP are not eligible for product labelling, to protect the integrity of the labelled traceable supply chain. For further information refer to the GSP communication guidelines. 3 Production Intent: This chapter outlines the ethical and sustainable production practices that are behind every Fairtrade product.

3.1 Management of production practices Intent: This section intends to ensure the continued compliance of the ASMOs. The requirements in this section apply to the ASMOs and the participating Miners that are part of the ASMO’s System of Production.

3.1.1 Definition of your System of Production Applies to: ASMOs-direct rights and ASM Operators Core You describe your System of Production which includes: • Areas in which you have legal authority (land and Mining Rights). Year 0 • Which of the mining Operators and areas are included and which are excluded from your Internal Fairtrade Supply Chain. • A description of the character and the ownership of all mining and processing units (domestic and industrial). • Names of external service providers and the type of services they provide, as well as Workers hired by them. • A mining plan which indicates clearly where mining and processing activities take place. The register contains declaration numbers, concession numbers and other relevant official data. Guidance: The System of Production facilitates organizational capacity building, cooperation and identification of the participating Miners. 3.1.2 Applies to: ASMOs-indirect rights Core You describe your System of Production which includes: Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 38 <!-- page break --> Back to Content Year 0 • A complete register of all your members, their qualification as formal artisanal Miners, their duties and rights. • The form of Mineral to be delivered to the ASMO (rocks or sediment containing Precious Metal, crushed rocks, concentrates – Ore, amalgam, sponge gold or solid gold doré). • All areas to be mined by your members including documentation of their individual legal land and Mining Rights. • Which of the mining Operators and areas are included and which are excluded from your Internal Fairtrade Supply Chain. • A description of the character and the ownership of all mining and processing units (domestic and industrial) owned by the ASMO and/or its members. • Names of external service providers and the type of service they provide, as well as Workers hired by them. • A mining plan which indicates clearly where mining and processing activities take place, and the estimated production volume of each member. • The register contains declaration numbers, concession numbers and other relevant official data. Guidance: This registry is separated from the Register of Miners (see req. 1.2.5). Formal artisanal Miners are documented or registered by the relevant authority. The System of Production integrates and facilitates organisational capacity building, cooperation and identification of the members. Where applicable, the description of your System of Production includes information about the accumulation process required to aggregate small (daily) deliveries of Miners into volumes that can be traded efficiently and traceably, taking into consideration pre- financing and security aspects.

3.1.3 Mining map Applies to: ASMOs Core You have a mining map, covering all mining and processing operations (including their geolocation-coordinates) in your System of Production. Year 0

3.1.4 Internal Control System (ICS) Applies to: ASMOs Core You design, introduce and maintain an ICS which includes: Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 39 <!-- page break --> Back to Content Year 3 • Workflow in internal supply chain(s) • Traceability Systems report • Compliance with internal and external regulations, including compliance with Fairtrade requirements • Financial statement’s reliability reports Control activities are risk-based, focussed on the most significant risks and correspond to the ASMO’s organisational structure and processes. The control scope includes both documentary and physical control. The General Assembly elects a Surveillance Committee of at least 2 members, who among their activities evaluate the effectiveness of the ICS. Guidance: The ICS is the internal strategy implemented by the board of directors with the purpose of avoiding errors and frauds. You describe the internal controls which are embedded within the strategic and operational plans (i.e. mining plan, production plan, supply plan, occupational health and safety plan, environmental plan), and your legal obligations including legal obligations of service providers and mining Operators regarding occupational health and safety, internal manuals (i.e. traceability, internal labour regulations, financial manuals) and voluntary regulations (i.e. Fairtrade Standards, due diligence) which jointly define the formal operation of the ASMO.

3.1.5 Regular monitoring Applies to: ASMOs Core The ICS includes regular monitoring of the assigned areas where Miners operate. Regular monitoring is carried out, including random visits to check who is working in designated areas Year 3 and monitoring the daily delivery to processing facilities. Such visits are carried out by authorised persons such as a supervisor or shift leader. You record the frequency, points checked, dates and any observations and irregularities. Guidance: The frequency of control activities is risk based. Activities include documental control. Regular and minimum frequency can be at least once a month, but it is advised to increase the frequency based on the risk of each area.

3.1.6 Internal Control System in processing facilities Applies to: ASMOs Core All processing facilities have a documented ICS available onsite. All data is documented in a central ICS. Minimum requirements are: Year 3 • a list of all Miners and processing units that deliver Precious Metal, Minerals, and Tailings to them, signed by the responsible person with identity card number; • delivery date; • delivered amount; • area of origin, assigned by you to the Miners’ groups (name, description); • gold content; • laboratory results (if applicable); and • the payment of price and premium (if applicable onsite).

3.2 Human Rights, Environmental and Minerals from conflict affected and high- risk areas Due Diligence Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 40 <!-- page break --> Back to Content Intent: This section gives guidance to ASMOs on how to handle mining responsibly, particularly in the context of conflicts affected and high-risk areas. The ASMOs have a responsibility to the mining Operators in its System of Production and to any third-party Operator they work with. Mining can take place in or could support current or latent conflict-affected zones, or in areas marked with political instability. This can lead to instability or violence that can affect the lives of Miners and their communities, and in worst cases, lead to human rights abuses. Therefore, this section provides guidance on how to identify and assess potential risks and remediate effects. This guidance is based on the OECD “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict Affected and High-Risk Areas” (OECD Guidance), which is the most widely recognized due diligence framework for Minerals sourced from conflict zones (http://www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals- Edition3.pdf).

3.2.1 Human Rights policy Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 41 <!-- page break --> Back to Content Year 0 You develop and implement a human rights policy which reflects your commitment to respect human rights and to prevent, mitigate and remediate adverse human rights impacts. The policy is approved at your most senior level, your General Assembly or Board of Directors. This policy reflects, at minimum, your commitment to all ILO conventions contained in this Standard, and the UN Guiding Principles on Business and Human Rights (UNPG). You align your operational policies, procedures and management system with this policy. Your policy is publicly available and communicated both internally and externally to your stakeholders. Your commitment includes: • Creating awareness (System of Production) • Evidence of adoption and implementation • A risk assessment, prevention, mitigation and remediation plan • An early warning risk awareness system for (a) Mineral extraction, (b) trade, (c) handling, and (d) export • You revise the policy at least every three years. If you identify during your risk assessment that you are operating in a high-risk area your policy should include (see requirement 3.2.3): • No tolerance of abuse, torture, cruel or inhumane treatment. • No tolerance of forced or compulsory labour. • No tolerance of the worst forms of child labour. • No tolerance of human rights abuses and violations, such as sexual, gender-based or other forms of violence. (see requirement 3.11.4) • No tolerance of war crimes, crimes against humanity, genocide or other serious violations of international humanitarian law. • No direct or indirect support of non-state armed groups. • No direct or indirect support of private or public security forces illegally controlling the mining sites. • No tolerance of bribery, corruption, or money laundering. • No tolerance of fraudulent misrepresentation of the origin of Minerals.

3.2.2 Awareness Raising Applies to: ASMOs Core You raise awareness among your board, management, staff members, members, Workers, mining Operators, and subcontractors in your System of Production to respect human rights Year 0 and your human rights policy, and the practical implications for them and for your ASMO’s operations. You inform your buyers and other relevant stakeholders upon request. Guidance: It is best practice to make the commitment publicly available online.

3.2.3 Risk Assessment Applies to: ASMOs Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 42 <!-- page break --> Back to Content Core You conduct a human rights and environmental risk assessment at least every three years to identify and assess any actual or potential risk which contributes to, or is associated with, Year 0 adverse human rights impacts in your operations (extraction, processing, handling and export) and business relationship. Including: • You integrate human rights and environmental risk analysis into your existing risk assessment processes. • You assess if you are working in a conflict area and the risks associated with it. • You assess which risks and challenges are most salient to your operations. • You identify which of your company’s organisation’s practices cause or contribute to these issues. • You consult your members and Workers to prioritize which risks and challenges to be addressed first. Guidance: You consult independent expertise such as governments, civil society organisations, national human rights institutions and/or multi-stakeholder initiatives, or Fairtrade staff/consultants, to assess the risks of human rights violations. If you are operating in a conflict-affected or high-risk area, or an area where human rights violations occur, you also identify and assess risks that could violate your human rights policy relating to conflict-affected areas. Fairtrade has developed the Fairtrade Risk Map and the Fairtrade’s Due Diligence Risk Assessment Tools to guide you through a basic Human Rights and Environmental Due Diligence risk assessment process. To determine whether you are operating in a conflict-affected or high-risk area, or whether there are risks regarding the direct or indirect financing or support of non-state armed groups or illegal activities, you may use different indicators and information sources, such as: • “Red flags” listed in the OECD DDG • The Conflict Barometer produced by the Heidelberg Institute for International Conflict Research • UN Security Council Resolutions and Peacekeeping Operations • Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Act of 2010 • US State Department Country Reports on Human Rights Practices • Geneva Academy indicators for conflict-affected and high- risk areas • Guidance from your buyers, interviews with Workers, Miners or local NGOs, etc. • EU regulations regarding conflict Minerals

3.2.4 Risk management Applies to: ASMOs Core You put a risk management system in place in accordance with the OECD DDG for responsible supply Chain of Minerals from Conflict-Affected and High-Risk Areas which includes all the Year 1 following: • Assigning two senior staff members responsible for managing due diligence and response relating to direct or indirect support of non-state armed groups and of human rights abuses or violations. • Conducting regular risk assessments. • Conducting unannounced spot checks of all areas and facilities in the System of Production as part of the ICS. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 43 <!-- page break --> Back to Content Guidance: a risk management system allows you to monitor risks and detect them at an early stage. Other measures to strengthen your risk management system and reassure buyers include conducting background checks before admitting new members; regularly checking the capacity of the System of Production against actual production; and regularly checking the capacity of on-site processing facilities against actual output. Ideally, one of the senior staff members who are responsible is a woman, to ensure that also gender-related risks are included.

3.2.5 Grievance mechanism Applies to: ASMOs Core You have a grievance mechanism which is transparent, legitimate, accessible, equitable and effective, included in the due diligence process; for issues relating to conflict, human rights Year 0 and environmental risks or practices, accessible in your national language(s) and the language(s) spoken by Workers, members, mining Operators and community members. The grievance procedure includes: • A person responsible of assessing and responding to grievances, nominated by the ASMO management. • An appropriate grievance submission channel which can be used both internally and by external stakeholders such as affected local parties. • Processes for documenting grievances, concerns and corrective measures. • Processes for investigation and decision-making within ninety days of receiving a grievance. • A process to receive anonymous grievances and ensure confidentiality. Grievances regarding gender-based violence are reported to and addressed by specially appointed women or gender committees, which are linked to a female senior manager where possible and have direct access to the Board of Directors. The same principles apply in cases of sexual harassment of groups other than women. The grievance mechanism allows lessons to be drawn and thus minimises the risk of a grievance being repeated. You seek to improve the mechanism and prevent future harm through regular review of grievance cases and dialogue with key stakeholders. If your ASMO cannot prevent or remediate a Human Rights’ related risk, then you report it to an appropriate external body. Guidance: It is recommended to have 2 responsible people as it will reduce conflict of interests. The grievance mechanism is aligned with the UNDP’s (specifically non state grievance mechanisms) for industry, multi- stakeholder and other collaborative initiatives: http://business-humanrights.org/sites/default/files/media/documents/ruggie/ruggie-guiding-principles-21-mar-2011.pdf

3.2.6 Promotion of Grievance Mechanism Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 44 <!-- page break --> Back to Content Year 0 You inform all your members, Workers and mining Operators in your System of Production about your grievance mechanism. You take annual measures to make the mechanism known and accessible to Workers, members, mining Operators, community members and other individuals and groups. You conduct regular awareness-raising sessions with staff about how to report conflict-related issues or human rights abuses or violations, and whom to report to. Guidance: If you have a web portal it is good practice to make your grievance mechanism available online.

3.2.7 Preventive, mitigating and remediation measures Applies to: ASMOs Core Based on your risk assessment (requirement 3.2.3), you put in place due diligence measures designed to address the specific risks, which will help you to prevent, mitigate and remediate Year 3 in compliance with local law and international regulations. You set up prevention, mitigation and remediation measures proportionate and appropriate to the specific risk. You document all measures or projects implemented and develop a report with data relating to any actions taken. Guidance: Measures may be at individual, Mine or community level. Examples could include a community-based project about conflict-related issues involving conflict-affected stakeholders, or a joint project with appropriate partner(s), including commercial partners, to understand the roots and causes of an event and its effects on individuals, Miners and community; or drafting a Remediation procedure, and setting up a Monitoring and remediation system (for details see requirement 3.2.8).

3.2.8 Monitoring and Remediation System Applies to: ASMOs Dev You implement a monitoring and remediation system which regularly checks for, and responds to, cases of human rights or environmental violation. You focus on selected types of violations Year 6 which you have identified as salient for your organisation. You cooperate with other actors with the remediation of any case found. You document the type and number of cases identified and responded to. Guidance: When forming partnerships, you help to eliminate violations from your country and supply chains. You may also access funds and other resources for this work. In geographic areas and products where risks are high, some buyers are increasingly selecting suppliers who have established monitoring and remediation systems on salient issues. You may establish and operate this system by yourself or in partnership with others, including relevant government agencies, NGOs, Traders or others. Examples of violations are child labour, forced labour or gender-based violence.

3.2.9 Dialogue Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 45 <!-- page break --> Back to Content Year 3 You seek dialogue and collaboration with at least one of your direct Fairtrade buyers on the human rights and environmental challenges in your operations and operational environment. You inform about your action plans and remediation activities, and invite buyers to present theirs, and agree a mutually acceptable type and level of support from your buyers for your activities. Where a buyer co-finances an activity, you inform the buyer about its implementation. Guidance: Remember that when a buyer contributes to human rights or environmental violations, for example via low pricing, they have a responsibility to cooperate in remediating those violations. It may be useful to also invite public authorities and/or civil society organisations to join the dialogue.

3.2.10 Reporting due diligence measures Applies to: ASMOs Core You report to your Board of Directors, and members about your due diligence and risk management measures to prevent, mitigate and/or remediate human rights and environmental Year 1 risks (see requirement 3.2.3). You inform commercial partners upon request as well. Such communication does not contain commercially sensitive or confidential information, nor information which creates a security risk for you or for people affected by conflict or human rights abuse. For this purpose, a non-disclosure agreement may be signed.

3.3 Environmental Management Plan Intent: The aim of this section is to ensure that local ecosystems are protected and rehabilitated through the implementation of environmentally friendly practices and technologies. This will occur through the promotion of improved environmental management practices by Miners, through complying with environmental regulations, landscape restoration, hazard prevention, management of Tailings in the mitigation of Acid Mine Drainage, and water pollution prevention. Fairtrade aims to minimize the negative impact of ASM in Environmentally Protected Areas and Critical Ecosystems, and neither supports nor endorses Newcomer ASM in such areas. Fairtrade excludes mining operations in High Conservation Value Areas and Protected Areas and may exclude mining in critical ecosystems according to the procedure for Temporary Excluded Areas (TEA). Attention is given to alluvial mining that even at small-scale level can have negative impacts on soil and rivers if not properly managed. For ASMOs certified for Fairtrade Eco gold, all development requirements from section 3.3-3.9 apply from year 0 of their certification.

3.3.1 Environmental licenses and permits Applies to: ASMOs Core All your mining operations and processing plants comply with national environmental laws and have valid environmental licenses, permits and management plans according to national legal Year 0 requirements. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 46 <!-- page break --> Back to Content

3.3.2 Environmental inspection reports Applies to: ASMOs Core You maintain records of external environmental inspections conducted by official governmental entities and any corrective actions implemented as a result. Year 0 You make these records available to the certification body. Guidance: You inform your commercial partners about any inspection results and share the information requested by them. It is important for a transparent relationship between the supply actors that risk information is shared, including information on how the risk is reduced, and mitigated or prevented.

3.3.3 Protected Areas Applies to: ASMOs Core Your Mining Area is not located in any High Conservation Value Areas (HCVAs) or Protected Areas under national legislation where mining is not allowed. Year 0

3.3.4 Measuring environmental impact Applies to: ASMOs Core You carry out an environmental impact assessment (EIA), at least every 3 years, of operations in your System of Production and use this information to implement an Year 0 environmental management plan to monitor, control and mitigate the impact of operations in your System of Production. If there is any technological change in your System of Production, you carry out a new EIA and establish an environmental mitigation plan if appropriate. The EIA provides clear and impartial information about potential environmental impacts, including information about: • alteration of soil, water and air quality • alteration of flora and fauna • alteration of the geomorphology, reliefs and habitats • alteration of streambeds, rivers and water sources • loss and disturbance of wildlife • loss of forest mass • loss of organic matter • modification of the natural landscape • land degradation • desertification of the area • water resource depletion (water usage) • energy consumption (fuel, oil and/or electricity) Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 47 <!-- page break --> Back to Content Guidance: The list is not exhaustive, and you should also assess any other environmental impact that may occur due to your mining operations. If you compare the usage data of your productive inputs to the weight of fine Precious Metal extracted, you can calculate how the efficiency of your operation evolves over time. Based on this EIA, you can develop an Environmental Management Plan.

3.3.5 Environmental management plan Applies to: ASMOs producing Eco Precious Metals Core You implement an environmental management plan. The plan includes measures to prevent, monitor, control, correct, minimise and recover any negative environmental impacts identified Year 1 in your EIA at any stage of your mining operations. The plan includes measurements, descriptions, facts and figures, timelines and annual action plans. It also includes a detailed description of the mining operations during the first year of Eco Fairtrade certification to be applied as a baseline. This baseline will be used to make an annual comparison of all environmental improvements achieved by your ASMO. The following list covers the minimum environmental aspects to be considered in your plan. • generation of mining effluents • generation of noise and vibrations • generation of emissions and particulate matter • Ore and waste disposal • vegetation and soil removal • topsoil handling • generation and disposal of non-hazardous solid waste • generation and disposal of hazardous solid waste • water consumption • generation of spills, fires and/or explosions • wastewater management • Tailings and Tailings disposal • energy use • maintenance plan (roads, vehicles, dams, installations, lightning conductors, motor engines, equipment etc.). Guidance: The above list is not exhaustive, and you may include any other environmental aspects relevant in your mining operations. Your measurements include at least all the usage data specified in section 3.3 You research or record the original ecology of the area. This is the basis for the environmental Rehabilitation after Mine closure.

3.3.6 Environmental Contingency Plan Applies to: ASMOs Core You develop an environmental contingency plan, including a general set of rules and procedures, to foresee and control in a timely fashion any environmental risk resulting from the operations in your System of Production. Year 1 The plan is based on the human health and EIA, and its goal is to define the actions to be followed in the case of an emergency or disaster. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 48 <!-- page break --> Back to Content Guidance: The activities in the plan should be based on the risk assessment of the ASMO, preventing possible accidents that may occur in the ASMO.

3.3.7 Open pit Mines Applies to: ASMOs Core You monitor and keep track at least twice a year that you and your members implement the following measures: Year 0 • use only small-scale extraction techniques (e.g. pumps and/or excavators) which are in line with national legislation • have a drainage system, channels and/or ditches in place to guarantee rainwater runs off properly • install crown gutters to avoid runoff water directly entering dams/ponds (thereby increasing the risk of exceeding their capacity) • ensure proper disposal of coarse and intermediate grain waste in an area authorised by the competent governmental authority • implement sludge dams, de-silting/sandblaster, sedimentation and treatment, clarification and contingency dams • make all dams impermeable to avoid water filtration at the base and slopes of the dams • inclination of slopes and height of benches do not exceed limits generally considered safe for that type of soil or rock. The security of the slope is assessed by a professional expert. Recommendations resulting from the assessment which are relevant to the safety of the pit are implemented. Guidance: Where slopes are not already specified in national legislation, slope angles should be determined by reference to similar artisanal or small-scale Mines nearby where slopes have not failed.

3.3.8 Gold recovery without mercury Applies to: ASMOs Core You do not use mercury if gold recovery without mercury is commercially and technically possible. Year 3 Guidance: You could develop a technical and financial plan to remove the mercury from its processes.

3.3.9 Protecting vulnerable Workers Applies to: ASMOs Core Toxic and dangerous substances such as mercury, cyanide and acids are never used or handled by children under 18 years, pregnant or breastfeeding women, or persons diagnosed Year 0 with mental deficiencies, or diseases of the gastrointestinal, urinary, nervous or respiratory systems. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 49 <!-- page break --> Back to Content

3.3.10 Awareness raising on health risks with amalgam burning Applies to: ASMOs using mercury Dev You ensure that members and mining Operators in your System of Production are aware about and understand the health risks related to amalgam burning. Year 1 Guidance: It is a best practice if you extend your awareness-raising activities to include the local mining community.

3.4 Mercury Management Plan Intent: The intent of this section is to set out a process to support ASMOs to minimize or eradicate (as appropriate) the use of mercury and cyanide over an agreed period, through implementation of responsible practices and technologies to mitigate the impact on the environment and human health. Fairtrade recognises the difficulties in eliminating the high-risk chemicals mercury and cyanide in Mineral recovery processes. Therefore, an Eco Fairtrade Premium additional to the regular Fairtrade Premium is applicable for ASMOs who share the vision of ecological friendly gold extraction, protect the environment in a wholistic way and successfully eliminate mercury and cyanide altogether, using only non-toxic processes (e.g. gravimetric methods, borax) for gold recovery, and developing low-impact mining in areas of high biodiversity. In jurisdictions where mercury and/or cyanide use is prohibited for ASM by law, national and local legislation prevails. For ASMOs certified for Fairtrade Eco gold, all development requirements from section 3.3-3.9 apply from year 0 of their certification.

3.4.1 Mercury Management Plan Applies to: ASMOs using mercury Core You implement a mercury management plan which aims to reduce emissions and releases of mercury to air, water and land to protect human health and environment. Year 1 You make continuous efforts to progressively reduce and eventually remove mercury from your processes. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 50 <!-- page break --> Back to Content Guidance: A mercury management plan describes the plans, timelines, and output of activities that an ASMO intends to implement to reduce and potentially eliminate the use of mercury. It covers technical and financial plans and evaluations for the removal of mercury from processes; basic procedures and records of mercury use (section 3.4.3); mercury emissions and releases; mercury recovery (Section 3.4.8); mercury supplier(s) information (section 3.4.2); training for Miners; and a human health and environmental risk assessment and action plan. The mercury management plan should, as a minimum, ensure that the minimum mercury management threshold standards of UNIDO’s Technical Guidelines on Mercury Management in Artisanal and Small-Scale Gold Mining are reached. Good practice is to develop the action plan based on an EIA. For a reference document on best available techniques see United Nations Environment Programme’s practical guide: Reducing mercury use in artisanal and small-scale gold mining. “Best available techniques”, according to Article 2 of the Minamata Convention on Mercury, means those techniques that are most effective to prevent and, where that is not practicable, to reduce emissions and releases of mercury to air, water and land and to minimise the impact of such emissions and releases on the environment as a whole, taking into account economic and technical considerations for a given Party or a given facility within the territory of that Party.

3.4.2 Mercury supply Applies to: ASMOs using mercury Core You have legal permits to buy mercury, and your supplier has a legal permit to trade it. Year 0

3.4.3 Mercury data registration Applies to: ASMOs using mercury Core You have a register of mercury storage, use and recovery, including information from your members and mining Operators working in your System of Production. Year 1 For each shipment of Precious Metals, you record the quantities of mercury used, recovered and unrecovered. This record is linked to the relevant stage of the production process and constitutes part of your Traceability System. Guidance: Your recorded mercury use reflects your efforts to reduce, substitute and/or eliminate mercury in line with your mercury management plan.

3.4.4 No whole Ore Amalgamation Applies to: ASMO using mercury Core Whole Ore Amalgamation of gold with mercury is not allowed. A mercury-free concentration process precedes Amalgamation. Concentration is done mechanically or manually. Year 0

3.4.5 No nitric acid Applies to: ASMOs using mercury Core You do not use nitric acid for dissolving amalgam. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 51 <!-- page break --> Back to Content Year 0

3.4.6 Limited designated areas for mercury use Applies to: ASMOs using mercury Core Your use and storage of mercury is limited to designated areas at least 500m from residential area, 150 from camp housing and at least 100m from rivers and other water bodies. Year 0

3.4.7 Amalgamation burning in designated premises Applies to: ASMOs using mercury Core Amalgam burning does not take place in homes, kitchens, or other indoor places where people without protection may be affected. Year 0 Amalgam burning is done only in designated premises distant at least 500m from any housing place. These designated premises provide privacy and security using recovery techniques such as retorts and other alternatives, and with proper equipment and trained users.

3.4.8 Mercury recovery and recycling Applies to: ASMOs using mercury Core You use retorts or alternative methods for mercury recovery and recycling. Recovered and/or recycled mercury is not disposed of but is cleaned and reactivated for Year 1 further use in Mineral processing. Guidance: Mercury recovered by retorting or recycling gets deactivated and often does not have the same Amalgamation properties as new or activated mercury. For this reason, many Miners simply dispose of the mercury recovered from retorts. However, there are several simple methods to reactivate the surface of mercury to bring back its Amalgamation properties. The two documents below provide a step-by-step description of such methods: Manual for Training Artisanal and Small-Scale Gold Miners; Reducing Mercury use in Artisanal and Small-Scale Gold Mining

3.4.9 Instrument and tools Applies to: ASMOs using mercury Core Instruments and tools used for any operations with mercury are not used in any other domestic activity. Year 0

3.4.10 Unprocessed amalgamated Tailings Applies to: ASMOs using mercury Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 52 <!-- page break --> Back to Content Year 0 Cyanide leaching of unprocessed amalgamated Tailings is not allowed and does not take place. If amalgamated Tailings are leached, mercury recovering gravimetric pre-processing precedes Cyanidation.

3.4.11 Alternative processing Applies to: ASMOs using mercury Core If you use mercury in Mineral Processing, retorts or alternative recovery methods are used. Year 0

3.4.12 Trials with alternative processing methods Applies to: ASMOs using mercury Core You develop a plan to implement alternative processing methods to minimise and eliminate the use of mercury in the recovery of gold. Year 3

3.4.13 Significant volume of alternatively processed gold Applies to: ASMOs Core A significant volume of gold is processed with alternative processing methods. Year 6

3.4.14 Access to amalgam recovery installation Applies to: ASMOs using mercury Dev You have a plan to support Miners from the mining community outside your System of Production to access an amalgam recovery installation. Year 6 Guidance: You can contact a development agency for support in implementing this project.

3.5 Cyanide Management Plan For ASMOs certified for Fairtrade Eco gold, all development requirements from section 3.3-3.9 apply from year 0 of their certification.

3.5.1 Cyanide Management Plan Applies to: ASMOs using cyanide Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 53 <!-- page break --> Back to Content Year 1 You implement a cyanide management plan which aims to minimise the health and environmental impact of cyanide. The cyanide management plan includes procedures to guarantee safe management and ensure the protection of human health and environment. These procedures cover the entire process from identifying legal suppliers, operational use and internal controls and monitoring to measure the impact of cyanide use, to procedures for decommissioning of cyanide facilities/infrastructure.

3.5.2 Detoxification of cyanide solutions and Tailings Applies to: ASMOs using cyanide Core Cyanide solutions and Tailings are recirculated in the extraction system and detoxified in a lined pond or tank before discharge. Year 0

3.5.3 Training personnel for cyanide leaching plant Applies to: ASMOs using cyanide Core Any cyanide leaching plant is operated by personnel trained in the safe and proper use of cyanide. Year 0

3.5.4 No environmental contamination Applies to: ASMOs using cyanide Core The cyanide leaching plant is constructed in such a way that environmental contamination does not occur. Year 0 The construction of the dams of the Tailing pond has a permit from the correspondent competent authority. To prevent the ecological and human impact of a dam break, a safety dam is built downstream. Guidance: As part of your Environmental Management Plan, you include an Industrial Water Management Plan, a contingency plan for the collapse of wells, sludge management plan, coarse grains management plan, geotechnical study of slope stability, reports, records in accordance with the applicable legislation of your country, and the commitments made in your Environmental Management Plan. The Tailings ponds should comply with these requirements: • 1m of free border from the border of the pond to the material • the water surface should be located in the opposite side of the downstream wall • the bottom and wall of the pond should be covered with a waterproofing material

3.6 Water management plan For ASMOs certified for Fairtrade Eco gold, all development requirements from section 3.3-3.9 apply from year 0 of their certification. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 54 <!-- page break --> Back to Content

3.6.1 Water management plan Applies to: ASMOs Core As an ASMO with direct rights or an ASM Operator, you implement a water management plan which includes suitable management strategies to prevent surface and groundwater Year 1 contamination in all Mines in your System of Production from exploration to Mine closure. The plan also includes efficient use of water in operations in your System of Production. As an ASMO with indirect rights, you actively support your members to implement water management strategies agreed by them, and any plans required by local regulations. Guidance: Good practice in a water management strategy includes: • water quality monitoring • maintaining or improving water quality • Mine discharges meeting water quality indicators • efficient use of water such as recirculation, reuse and/or recycling • compliance with local regulations • awareness raising among your members, Workers and mining Operators in your System of Production • keeping records of changes.

3.6.2 No discharge of contaminated water Applies to: ASMOs Core Tailings and contaminated water are not discharged into water bodies, or where they can reach water bodies, or in places susceptible to flooding and landslides. Year 3

3.6.3 No discharge of toxic Tailings Applies to: ASMOs Core Amalgamation and Cyanidation Tailings and solutions are not discharged. Year 0

3.6.4 Operation and maintenance of dams Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 55 <!-- page break --> Back to Content Year 3 You conduct regular inspections of all dams in your System of Production and document them. These inspections are designed to detect potential problems and allow for repair and maintenance, to prevent the structure being compromised. Inspections are conducted by trained personnel, they include an analysis of potential risks that could compromise the dam or cause failure, such as, but not limited to: • erosion of embankment/slopes • piping • cracking at the crest and slopes • slumping • landslides • unusual flows or ponding. You carry out routine maintenance. Guidance: You could develop an inspection plan or schedule which includes reporting mechanisms internally for your members and externally when they are requested. Routine maintenance should address and repair all defects noted during the inspections, clean and unclog drains and spillways, and include an established schedule for maintenance of pumps and other mechanical equipment.

3.6.5 Isolation of acid-forming materials Applies to: ASMOs Dev Where mining could lead to Acid Mine Drainage, you employ effective methods to isolate acid- forming materials from water. Year 3

3.6.6 Availability of water Applies to: ASMOs Dev You are informed about water resources in your area. If local environmental authorities or other entities consider that your water sources are depleted, in a critical situation or under excessive pressure, you discuss with local authorities and local initiatives ways to participate in researching and finding solutions. Year 3 Guidance: You may find it difficult to know the sustainability or replenishing capacity of local water sources, but you may monitor public information about their sustainability from local authorities, universities or organisations working in your region.

3.7 Waste Management Plan For ASMOs certified for Fairtrade Eco gold, all development requirements from section 3.3-3.9 apply from year 0 of their certification. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 56 <!-- page break --> Back to Content

3.7.1 Waste management plan Applies to: ASMOs Core You implement a waste management plan which reflects good waste management practices based on identified risks. It defines organisational timelines, measures and action plans Year 3 including the proper disposal of Tailings and of wastewater by trained personnel. Additionally, it sets out a plan for recycling waste - particularly toxic waste - in collaboration with other Mines and suppliers in the area. Guidance: examples of Good Waste Management Practices: • Reducing waste: minimal packaging, opting for reusable things, for example water bottles for Worker’s hydration, • Reusing items • Recycling materials: proper sorting, separating recyclable materials (glass, plastic, paper), supporting recycling programs with the local community • Composting organic waste, raising awareness about waste management practices, collaboration with local government to improve the waste management at community level. Specific to the mining sector: • Lined Tailings storage facilities • Dry stacking of Tailings (Tailings compacted and stored in a dry form) • Waste Rocks could be used in construction projects • Reprocessing Tailings • Use of bacteria or fungi to break down hazardous chemicals from waste.

3.7.2 No dumping of fuel residues Applies to: ASMOs Core You do not dump fuel residues or their containers in water bodies or places where they can reach water bodies or are susceptible to flooding. They are properly disposed of at places Year 0 approved by the environmental protection agency or another equivalent body in the locality.

3.7.3 Site for disposal of toxic substances Applies to: ASMOs Core You maintain a safe site for the specific purpose of storage, use and disposal of toxic and dangerous substances and the containers used for their transport and storage. This location Year 0 has adequate conditions for safe storage and inventory keeping. Toxic and dangerous substances are not stored in domestic residences. Guidance: Toxic and dangerous substances include fuel and oil, explosives, mercury, cyanide, acids and any other chemical substance. Its best practice to recycle back to the supplier. ‘Adequate conditions’ include a ventilated building or structure accessed only by trained personnel. Metallic mercury should be stored in unbreakable air-tight containers covered with a shallow layer of water (approx. 1cm) to prevent mercury evaporation (retrieved from section 13 Storage of Mercury from UNIDO Technical Guidelines on Mercury Management in Artisanal and Small-Scale Gold Mining). Mineral and water remaining after mercury extraction are considered toxic and dangerous. You ensure safe and secure disposal, see 3.7.2. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 57 <!-- page break --> Back to Content

3.7.4 Disposal of chemicals Applies to: ASMOs Core The disposal of chemicals and chemically contaminated material is properly planned and is part of your waste management plan. Year 3 You ensure the use of protective equipment such as masks and filters. Guidance: The plan may include the pre-treatment of effluents, establishment of collection points at the site, correct disposal in designated area and other suitable measures.

3.8 Mine Closure Plan For ASMOs certified for Fairtrade Eco gold, all development requirements from section 3.3-3.9 apply from year 0 of their certification.

3.8.1 Mine closure plan Applies to: ASMOs–direct rights and ASM Operator Core You have a Mine closure plan that complies with applicable laws and regulations. Year 1 The plan includes action to: • rehabilitate the environment, • rehabilitate water bodies and • prevent hazards. In addition, in the case of open pits or underground Mine: • refill them according to the applicable national environmental laws and regulations. The plan is progressive, ensuring closure activities are implemented during and after the operational lifetime of a Mine. You prioritise activities occurring during the operational period of the Mine. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 58 <!-- page break --> Back to Content Guidance: The plan aims to guarantee the long-term geochemistry and physical stability of the mining installations. Environmental Rehabilitation • Clean, level and revegetate the affected land by filling in the depressed areas, seeking to reproduce the natural geoforms and ensure their physical and geomechanical stability, minimizing their impact on the quality, flow and possible future uses of natural waters and soils • Carry out the closure works with materials and technologies adapted to the characteristics of the topography of the area Geochemistry stability and water management • Adopt measures to control water quality and ensure that discharges comply with current regulations • Manage surface water runoff, rehabilitating watercourses where feasible • Restore water flow and landscape to conditions that best restore the initial properties of the environment Physical stability • Ensure the stability of the Waste Rock dumps and Tailings deposits to ensure they withstand the maximum expected events • Profile pit slopes and other excavations and re-vegetate surfaces to minimize erosion from water runoff or wind erosion Hazard prevention • Minimize risks by limiting access to closed facilities. Close access to places such as open pits, dumps or waste dumps, chimneys, among others • Responsible industrial and hazardous waste disposal in accordance with current regulations 3.8.2 Applies to: ASMOs–indirect rights Core You support your members to develop a Mine closure plan that complies with the applicable national environmental laws and regulations. As part of your ICS and environmental Year 3 management plans, you evaluate and monitor the intended activities set out in the Mine closure plan to confirm that they are being implemented as planned. For this, you maintain evidence and records. Mine closure is progressive. You ensure closure activities are implemented during and after the operational lifetime of a Mine. The closure plan enables the Rehabilitation of the environment, and water bodies and hazard prevention. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 59 <!-- page break --> Back to Content Guidance: Support to your members includes creating awareness, building the financial resources to finance closure work, training and technical assistance. Backfill can be considered as an alternative. The plan aims to guarantee the long-term geochemistry and physical stability of the mining installations. Environmental Rehabilitation • Clean, level and revegetate the affected land by filling in depressed areas, seeking to reproduce their natural geoformations and to ensure their physical and geomechanical stability, minimising their impact on the quality, flow and possible future uses of natural waters and soils. • Carry out the closure works with materials and technologies adapted to the characteristics of the topography of the area. Geochemistry stability and water management • Adopt measures to ensure water quality and that discharges comply with current regulations. • Manage surface water runoff, rehabilitating watercourses where feasible. • Restore water flow and landscape to conditions that best reflect the initial properties of the environment. Physical stability • Ensure the stability of Waste Rock dumps and Tailings deposits to ensure they withstand the maximum expected events (e.g. floods or earthquakes). • Profile pit slopes and other excavations and revegetate surfaces to minimise erosion from water runoff or wind erosion. Hazard prevention • Minimise risks by limiting access to closed facilities. Close access to places such as open pits, dumps, waste dumps and chimneys. • Responsible industrial and hazardous waste disposal should be in accordance with current regulations.

3.8.3 Rehabilitation Applies to: ASMOs Core As part of your Mine closure plan, you set up a planning process for the environmental Rehabilitation of the Mined areas. You consult the intended future use with the local community, Year 3 intended beneficiaries and other impacted people or organisations. Closed Mining Areas are rehabilitated and revegetated in ways that enhance local biodiversity as appropriate for the native ecosystem and/or are converted to an alternative use in accordance with the land planning priorities of the Local Community authorities. The plan mentions that environmental Rehabilitation is addressed in the progressive mining closure activities in your System of Production. The environmental Rehabilitation is comparable to the ecological conditions and quality of the original site.

3.9 Eco gold, silver and platinum Intent: This section provides an additional requirement for gold and associated Precious Metals produced under stricter environmental practices. Only non-toxic processes (e.g. gravimetric methods) are accepted, with no mercury or cyanide. ASMOs choosing to comply with the requirement in this section are eligible to a Fairtrade Eco Premium additional to the normal Fairtrade Premium. Procedures, roles and responsibilities for handling the Fairtrade Eco Premium are the same as handling the Fairtrade Premium. The Fairtrade Eco Premium is used to further improve the ecological situation of the production and the community and to implement the Environmental Management Plan. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 60 <!-- page break --> Back to Content Documentary and physical traceability shall be ensured for Eco Precious Metals, which should be separated from the other Fairtrade certified metals (see section 2.1). Also, Fairtrade mark guidelines include rules for labelling for Eco Precious Metals to be complied with. (see requirement 2.4.3). For ASMOs certified for Fairtrade Eco gold, all development requirements from section 3.3-3.9 apply from year 0 of their certification.

3.9.1 No use of mercury or cyanide for Mineral Processing Applies to: ASMOs producing Eco Precious Metals Core You and your Miners do not use mercury or cyanide for Mineral Processing. Only non-toxic processes are used. Year 0 Eco Guidance: Tailings from Precious Metal classified as Eco Precious Metal may be processed by industrial third-party plants (outside the System of Production) for which you have proof of an appropriate, existing and implemented environmental management plan or by another certified ASMO. In this case: • the gravimetrically recovered Precious Metal is certifiable as “Eco Fairtrade” • the Precious Metal from the Tailings is certifiable as Fairtrade only, if the third-party or the other ASMO is certified as Trader, the Tailings are traceable to the product resulting from the processing and there is a Fairtrade supply chain for this Precious Metal. If you or your Miners post-process the Tailings with cyanide or mercury (which means the ASMO uses mercury or cyanide), even the purely gravimetrically recovered fraction is not certifiable as “Eco Fairtrade”. In this case the entire Precious Metal is certifiable as Fairtrade, but not “Eco Fairtrade”.

3.10 Labour conditions Intent and scope: This section intends to ensure decent working conditions. Fairtrade International regards the 1998 ILO Declaration on Fundamental Principles and Rights at Work, as well as all other applicable ILO Conventions as references for decent working conditions. The concept of decent work can be summarised in four basic objectives: rights at work, employment, social protection and social dialogue. Workers are waged employees, of the ASMO, and of Operators in the System of Production whether they work in the Mine, in processing sites, in administration or as technical staff. It includes migrant, temporary, casual, seasonal, sub-contracted and permanent Workers. Requirements in this chapter are applicable to all Workers and employees directly employed by the ASMOs, by its members/owners, and to Workers employed by other mining Operators in your System of Production. Employed Miners within its scope includes administration and technical staff, industrial and domestic processing plants, and Mineral extraction.

3.10.1 Assessment of employment relationship and working conditions Applies to: ASMOs–direct rights, ASM Operator Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 61 <!-- page break --> Back to Content Year 0 You assess the existing employment relationship and working conditions of all Workers in your System of Production and identify the priority needs of all Workers. Guidance: The employment relationship is understood as the legal link between employers and employees. It exists when a person performs work or services under certain conditions in return for remuneration. The existence of an employment relationship is the condition that determines the application of the labour and social security law provisions addressed to employees. It is the key point of reference for determining the nature and extent of employers' rights and obligations towards their Workers. It is important because an ambiguous relationship will be one of the reasons behind dependent Workers with lack of protection. Working conditions refers to the working environment and all existing circumstances affecting labour in the workplace, including job hours, physical aspects, legal rights, and responsibilities. Working conditions is linked to, dependent on, and contributes to the objective of more and better jobs. Reference: R198 - Employment Relationship Recommendation, 2006 (No. 198) ILO.

3.10.2 Assessment of working conditions Applies to: ASMOs-indirect rights Core You carry out an assessment of the existing employment relationship and working conditions of all employed Workers and members/self-employed Miners in your System of Production Year 1 which includes their priority needs. Guidance: Priority needs are understood in the context of working conditions. They could, for example, be identified using a gap analysis between members/self-employed Miners and Hired Workers doing the same or similar work.

3.10.3 Monitoring of employment relationship and working conditions Applies to: ASMOs–direct rights, ASM Operators Core You monitor changes in the employment relationship and working conditions of all Workers in your System of Production annually. Year 1 3.10.4 Applies to: ASMOs-indirect rights Core You monitor changes in the employment relationship and working conditions of all Workers and members/self-employed Miners in your System of Production annually. Year 1 Guidance: Self-employment refers to non-salaried employment and includes self-employed Miners without employees who earn a profit (or income) and are not remunerated by a salary (according to the international classification of status in employment). Using this definition, your members can be defined as self-employed. In addition, there may be some Miners or family members who receive part of the Mineral obtained as payment for time worked with someone else in the System of Production. It is important for ASMOs to have a clear understanding of the labour relationships in its System of Production. You should identify different types of labour relationship and have information about the different conditions under which your members (and other Miners in your System of Production) currently work. This information will help you to design strategies to improve these conditions and to encourage your members to aspire to conditions similar to those of an employed Worker. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 62 <!-- page break --> Back to Content

3.10.5 Decent work policy Applies to: ASMOs Core Based on the assessment in requirement 0you develop a decent work policy designed to improve the working conditions of all Workers employed directly or indirectly by you and by Year 3 your registered Miners. The policy is part of the ASMO’s development plan (see section 4.1) Guidance: Decent work is considered a driver of sustainable development. It concerns quality jobs, dignity, equality, fair income and safe working conditions. People are at the centre of development, have a voice in what they do, are protected from exploitation and can look forward to a sustainable and inclusive future (ILO). Decent work covers four pillars: employment, rights at work, social protection and social dialogue. It is an evolving process, and you and your members may also identify areas for improvement. The decent work policy may include: • Indicators relating the four pillars - for example, employment opportunities for women, men and Young People; protecting labour rights; promoting safe and secure work environments for all Workers; education and training; and people-centred policies such as social protection and wage policies. • Developing awareness-raising tools to support the improvement of working conditions, such as leaflets or visual guides on health and safety issues, or training workshops for members and Workers on Workers’ issues. • Taking Workers’ needs into account when developing Fairtrade Premium projects. • The decent work policy is a tool for you to share the benefits of Fairtrade with Workers, and to facilitate the transition from the informal to the formal economy.

3.10.6 Decent Work Practices Applies to: ASMOs Dev You develop and implement practices linked to your decent work policy; these practices are defined according to your ASMO’s progress. Year 6 Guidance: examples: • Create your own decent work indicators that you can monitor and evaluate: Living wages, safe working condition, personal development. • Promote equal opportunities, for example through affirmative action to employ more women. • Include psychosocial risk factors when defining occupational health risks. • Promote work-life balance, for example through support for care services. • Develop and strengthen the capacities of members and Workers.

3.11 Freedom from discrimination Intent and scope: This section intends to prevent discrimination against Workers based on ILO Conventions 100 (Equal Remuneration) and 111 Discrimination (Employment and Occupation). The Convention 111 defines discrimination as “any distinction, exclusion or preference made on the basis of race, colour, gender, sex, religion, political opinion, national extraction or social origin, which has the effect of nullifying or impairing equality of opportunity or treatment in employment or occupation” (Article 1). Discrimination is making an unfair distinction in the treatment of one person over another based on stereotypes. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 63 <!-- page break --> Back to Content The objective of this requirement seeks to protect people who are vulnerable due to their physical, cultural, social or economic characteristics, especially women Miners, disabled or ill persons, HIV-AIDS orphans, persons displaced by conflict or ex-combatants seeking a new beginning.

3.11.1 No discrimination Applies to: ASMOs Core You and your members do not discriminate on the basis of race, colour, gender, sexual orientation, disability, marital status, migratory status, age, religion, political opinion, Year 0 membership of unions or other Workers’ representative bodies, national extraction or social origin in terms of recruitment, promotion, access to training, remuneration, allocation of work, termination of employment, retirement or other activities.

3.11.2 No abuse of any kind Applies to: ASMOs Core You and your members do not engage in, support or tolerate the use of corporal punishment, mental or physical coercion, bullying, harassment, verbal abuse or abuse of any kind. Year 0

3.11.3 No tolerance of sexual harassment Applies to: ASMOs Core You and your members do not engage in, support or tolerate behaviour, involving gestures, language or physical contact, which is sexually intimidating, abusive or exploitative. Year 0 Guidance: Threats of physical or sexual nature, harassment and intimidation are explicitly prohibited. This includes acts targeting the Worker, his or her family and/or close associates. Where such practices are endemic within a sector or region you are encouraged to address this within the framework of your Fairtrade Premium Development Plan, for example by developing a written policy and a system that clearly prohibits sexually intimidating behaviour. A good practice to address such difficulties: “self- help groups”, where victims of such threats and actions can gather and talk.

3.11.4 Policy for no tolerance of Gender Based Violence and other forms of harassment Applies to: ASMOs Core You, your members and mining Operators in your System of Production develop a policy indicating that they do not engage in, support or tolerate violent or abusive behaviour (including Year 1 gestures, language and physical contact), such as sexually abusive acts, intimidation, bullying or other forms of exploitation and abuse. You identify and prevent such practices. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 64 <!-- page break --> Back to Content Guidance: GBV is an umbrella term for any harmful act that is perpetrated against a person’s will and that is based on socially ascribed (gender) differences between females and males. Examples include sexual violence, including sexual exploitation/abuse, forced prostitution, domestic violence and trafficking. Other forms of exploitation and abuse include physical (causing injury or trauma to another person), psychological or emotional (violating any person’s dignity and creating fear, embarrassment, or intimidation) and verbal (using words to threaten, harass, intimidate, or harass a person). Abusive language and exploitative posters displayed in an ASMO’s premises are also banned. Where GBV and other forms of harassment are endemic within a sector or region, you are encouraged to include activities to address this in your Fairtrade Premium Development Plan or to develop a written policy that clearly prohibits sexually intimidating behaviour and to introduce a monitoring system to prevent GBV. When cases are identified, your organisation is expected to remedy them. This includes ensuring the prolonged safety of the individual(s) involved, and implementing policies, procedures and monitoring to prevent GBV and other forms of violence. ‘Prolonged safety’ means keeping the person(s) free from risk of actual harm or danger. The policy can also be linked to a broader policy against any form of discrimination. Best practice includes building organisational capacity to understand GBV and other forms of violence, and to strengthen its ability to ensure that such harm is eliminated. Where this is not possible, it is recommended you seek the support of local expert rights-based organisations to help your ASMO eliminate such practices.

3.11.5 Equal opportunities for Decent Work Applies to: ASMOs–direct rights, ASM Operator Dev You and your members provide equal employment opportunities in all your areas of mining activity by recognising the specific capabilities and needs of men, women and disadvantaged Year 3 individuals, regardless of their background or origin. Guidance: Equal employment opportunities include measures to improve the access of disadvantaged people to education, skills training and healthcare. You adequately consider women’s role in the care economy – for example, through work-family balance measures or by offering workplace-level incentives for providing childcare and parental leave.

3.11.6 Equal opportunities for decent work Applies to: ASMOs-indirect rights Dev You promote entrepreneurship among your members, especially those with limited assets and those in a disadvantaged position, particularly self-employed women. Year 3 Guidance: To promote entrepreneurship, you can e.g. focus on how best to support self-employed women when planning activities to increase access to: • Land • Credit • Skills/ capacity building • Technology • Networks • Business information and markets • Training. This will create better opportunities for men and women entrepreneurs.

3.11.7 Support to pregnant and breast-feeding women Applies to: ASMOs Dev Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 65 <!-- page break --> Back to Content Year 3 You and your members comply with the applicable laws and regulations for all pregnant and breastfeeding women Miners and provide support to all of them in your System of Production. Guidance: You and your mining Operators make every possible effort to ensure self-employed women working in your System of Production during pregnancy and breastfeeding have access to health services and social protection. You and your mining Operators promote working conditions and opportunities for those women so they can continue working, such as lighter duties and/or non-hazardous work. You provide access to childcare facilities (where applicable). To this end you can work together with local authorities. You make every effort to support self-employed women to manage economic constraints relating to unpaid maternity leave which can push them back to work before the minimum time allowed for hired women Miners with paid maternity leave.

3.12 Freedom from forced labour Intent and scope: This section intends to prevent forced or bonded labour, including trafficking and sexual exploitation based on the content of ILO Conventions C29 (Forced Labour Convention), C105 (Abolition of Forced Labour Convention), UN 2000 “Protocol to prevent, Suppress and Punish Trafficking in Persons Especially Women and Children” (Palermo Declaration) and ILO Recommendation 203 on Forced Labour (Supplementary Measures), “Forced or compulsory labour shall mean all work or service which is exacted from any person under the menace of any penalty and for which the said person has not offered himself voluntarily” (Article 2). This section is applicable to all Workers employed directly or indirectly (subcontracted) by the ASMOs, its members and mining Operators working in your System of Production.

3.12.1 No forced labour Applies to: ASMOs Core You, your members and the mining Operators in your System of Production do not directly or indirectly engage in, support or tolerate forced labour, including slave, bonded or involuntary Year 0 prison labour. You explain this to all members, Workers and Miners, and mining Operators. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 66 <!-- page break --> Back to Content Guidance: ‘Forced labour’ includes work for which a person has not offered themself voluntarily and is forced to perform under the threat of any penalty. Forced labour includes slavery, involuntary prison labour, forced recruitment, debt bondage and human trafficking for labour and/or sexual exploitation. Characteristics of forced labour include retaining any part of the Workers’ salary, benefits, property or documents to force them to remain in their employment; requiring or forcing Workers to remain in employment against their will using any physical or psychological measure; and demanding an unreasonable notice period for termination of the contract of employment. The terms ‘bonded labour or ‘debt bondage refer to Workers who have received loans from employers which are subject to unreasonable and/or unjust repayment terms and conditions, or where the Worker and/or their families are held to pay off the loan through their labour against their will. Indicators developed by ILO can help you assess if your organisation is at risk of forced labour: • abuse of vulnerability • deception • restriction of movement • isolation • physical and sexual violence • intimidation and threats • retention of identity documents • withholding of wages • debt bondage • significant abusive working and living conditions • excessive overtime Wages significantly lower than the minimum wage can also be an indicator of risk of forced labour.

3.12.2 Remediation in case forced labour is identified Applies to: ASMOs Core If you identify cases of forced adult labour in your System of Production, you, your members and mining Operators keep the impacted person(s) free from perceived or actual risk of harm Year 1 or danger. You ensure your relevant policies and procedures are properly implemented to prevent vulnerable adults above the age of 18 years from being employed in abusive, exploitative or unacceptable working conditions (as defined by ILO Conventions 29 and 105). Guidance: ‘relevant policies and procedures’ can include a due diligence and risk mitigation system to monitor forced labour and relevant projects to prevent and respond to it. You use a rights-based approach to remediate cases and to ensure you do no further harm to impacted persons. ‘Do no harm’ means avoiding exposing people to additional risks because of remediation actions. You should also assess whether your actions follow (or will breach) applicable laws or regulations. Consider involving trusted family members, work colleagues, community actors, national or district level government officials, expert NGOs, trade unions and/or your PN to ensure autonomy and support the impacted person’s ability to take control of their future. For children identified in forced labour, refer to the child labour and child protection section.

3.12.3 Freedom for spouses and family members Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 67 <!-- page break --> Back to Content Year 0 You, your members and mining Operators in your System of Production do not make the employment of a Worker, or an offer of housing, conditional on the employment of their spouse and family members. Spouses and family members above the legal age to work have the right to work elsewhere.

3.12.4 Freedom to leave employment Applies to: ASMOs Core Workers have the freedom to terminate employment at any time without penalty and without notice period if they find themselves in a forced labour and/or exploitative situation. Year 0 Guidance: In case Workers find themselves in a forced and/or exploitative labour situation which could include e.g. indentured labour, bonded labour or similar labour-contracting arrangements requiring to pay off a debt, substantial or inappropriate fines, and loss or delay of wages that prevent Workers from voluntarily ending employment within their legal rights, they can leave immediately. They can contact Fairtrade International or the certification body to raise an allegation. In regular situations (when exploitation or forced labour does not take place), usual contractual agreements apply and Workers should follow due period notices when they want to terminate their employment contracts.

3.12.5 Freedom to enter employment Applies to: ASMOs Core Workers enter employment voluntarily and freely, without threat of penalty, violence, harassment or intimidation and without paying for their recruitment. Year 0

3.13 Child labour and child protection Intent and Scope: To prevent labour that is damaging to children based on the content of ILO Convention 182 on the Worst Forms of Child Labour and on the content of ILO Convention 138 on Minimum Age. “The minimum age specified in pursuance of paragraph 1 of this Article shall not be less than the age of completion of compulsory schooling and, in any case, shall not be less than 15 years”. This section is applicable to all Workers employed by you, your members and mining Operators in your System of Production. This section applies to Workers employed directly or indirectly (subcontracted).

3.13.1 No children employed Applies to: ASMOs Core You and your members do not employ children below the age of 15 or under the age defined by local law or national mining legislation, whichever is higher. Year 0 Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 68 <!-- page break --> Back to Content Guidance: In the case of child-headed households where all members of the household are below the age of 18 years, a child’s right approach should be used to interpret these requirements, giving priority to the best interest of the child and long-term social protection. The minimum age requirement also applies to children who are employed indirectly by you or the members of the ASMO, for example when children of Workers are working with their parents in mining operations. If the age of a child is unknown, all efforts must be made to identify the age following child rights guidelines (specifically child protection). When there is a high likelihood of child labour as defined by ILO Convention 138 (Minimum age) and ILO Convention 182 (Worst forms of child labour) occurring you are encouraged to address this and include actions in your Fairtrade Development Plan that tackle root causes of child labour, such as ensuring safe schooling of children. If there are no schools available in the area where children live, all effort should be given to work with national authorities and/or other relevant partners to build schools for children or provide safe transportation so children can attend the nearest schools. If children who migrate temporarily with their working families to areas where no schools are available, temporary schooling alternatives could be sought and provided so children can attend school and receive a quality education. In all circumstances child rights should be given primary consideration, as reflected in the guiding principles of the UN Convention of the Rights of the Child (UNCRC).

3.13.2 Strict conditions for children to help working Applies to: ASMOs Core Children below the age of 15 or under the age defined by local law, whichever is higher, are not allowed to help or work in mining operations of their families. Year 0 Your ICS includes procedures to prevent, mitigate and, if applicable, remediate and take corrective actions to support the children and their families.

3.13.3 No unconditional worst forms of child labour and hazardous work for children under 18 years Applies to: ASMOs Core You, your members and mining Operators in your System of Production do not submit Workers under 18 years of age to the unconditional worst forms of child labour, or to any type of work Year 0 which by its nature or circumstances is likely to jeopardise their health, safety, morals or education. Guidance: ‘Unconditional worst forms of child labour’ covers: • any type of slavery or practices like slavery, such as the sale and trafficking of children; debt bondage and serfdom; and forced or compulsory labour (including forced or compulsory recruitment of children for use in armed conflict) • any activities which sexually exploit children, such as prostitution, pornography or pornographic performances • any involvement of children in illegal activities, especially the production or trafficking of drugs. Examples of potentially damaging hazardous child labour include: • working in an unhealthy environment • working excessively long working hours and/or night hours • handling of or any exposure to toxic chemicals • working at dangerous heights • operation of dangerous equipment • work that involves abusive punishment or is exploitative. ASMOs are encouraged to use definitions of hazardous child labour contained in national legislation as a reference. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 69 <!-- page break --> Back to Content

3.13.4 Remediation of child labour Applies to: ASMOs Core If you, your members or mining Operators in your System of Production have in the past employed children under 15 for any type of work, or children under 18 for dangerous and Year 1 exploitative work, you have ensured that those children have not entered, or have not been at risk of entering, even worse forms of labour including hazardous work, slave-like practices, recruitment into armed conflict, sex work and trafficking for labour purposes and/or illicit activities. Any actions taken in this regard respect the UN Convention on the Rights of the Child (CRC) protective framework, which means that: • the best interest of the child is always the top priority • their right to survival and development is respected • you apply them to all children without discrimination • the views of the child are heard and respected • at all moments they are protected from violence Guidance: In order to ensure children do not enter the worst forms of labour, you could develop a rights-based remediation policy and programme within a UN CRC protective framework, covering withdrawal of the children and prevention of entry into the worst forms of labour. This policy and programme should include a clear statement against child labour and remediation approaches to ensure the immediate and continued protection of children. To be able to monitor the risk of child labour, you could consider including a Youth-Inclusive Community-Based Monitoring and Remediation System on Child Labour (YICBMR) aimed at improving social protection in households with potentially at-risk children. These projects can include support from expert partner organisations, preferably local ones. You can check your country’s National Action Plan to Eliminate Child Labour, especially its Hazardous Child Labour Framework, if available. If you choose to partner with Fairtrade and/or its child rights partners to safely withdraw impacted children found in unconditional worst forms of child labour, you will need a signed Child Protection Policy and Procedure that demonstrates a commitment to adopting a child rights’ approach to protecting impacted children. You and your relevant staff will need to be trained on child rights methodologies, and a Fairtrade contact within your organisation or another representative from senior management should be responsible for the development, ratification, implementation and evaluation of this Child Protection Policy and Procedure.

3.13.5 Child Labour Policy Applies to: ASMOs Core You establish and implement a Child Labour Policy, including a signed Child Protection Policy and Procedures document, a clear statement against child labour and a clear statement that Year 0 demonstrates a commitment to adopting a child rights’ approach to protecting and remediating impacted children.

3.13.6 Child Labour prevention Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 70 <!-- page break --> Back to Content Year 1 If you have identified child labour as a risk in your ASMO or your System of Production, you implement relevant procedures to prevent children below the age of 15 from being employed for any work and children below the age of 18 from being employed in dangerous and exploitative work. Guidance: Relevant procedures can be keeping records of all Workers stating their age, gender, identification papers, migratory status and other relevant data. If you chose to mitigate risk through your Fairtrade Development Plan you could build a youth inclusive community-based monitoring and remediation on child labour on an on-going basis. This would include: • identifying children in or at risk of being employed in child labour, • reporting on the status of the identified children on a regular basis, • measuring the progress made in safely withdrawing and preventing children from being engaged in child labour; and • avoiding that children withdrawn from labour situations are substituted by other. For suggestions on how to establish a youth inclusive community-based monitoring and remediation on child labour, please request Fairtrade’s descriptive and training materials on this from the producer support team.

3.13.7 Preventive projects Applies to: ASMOs Core If, as a result of your youth-inclusive community-based monitoring of child labour, you confirm that child labour is a risk in your System of Production or the mining community, you develop Year 3 preventive projects with expert partner organizations to ensure that additional children do not become involved and you are committed to offering continued protection to children. You and your Workers are trained on these. Guidance: The Fairtrade officer or another representative from senior management should be responsible for the implementation and assessment of the policy and related actions.

3.13.8 Well-being of children Applies to: ASMOs Dev You, your members, Workers and mining Operators in your System of Production contribute to the increased well-being of children and Young People in your communities through continuous Year 3 monitoring and remediation of child labour. You enable decent youth employment within the scope of your operations, and you have access to technical training and awareness of socially responsible and environmentally friendly ways of mining.

3.14 Freedom of association and collective bargaining Intent and scope: This section intends to protect Workers against discrimination when exercising their human rights to organize and to bargain their working conditions collectively, based on ILO Conventions C87 (Freedom of Association and Protection of the Right to Organize Convention), C98 (Right to Organize and Collective Bargaining Convention), C135 (Workers’ Representatives Convention), C141 (Rural Workers’ Organisations Conventions) and ILO Recommendation R143 (Workers’ Representatives Recommendation). “Workers and employers, without distinction whatsoever, shall have the right to establish and, subject only to the rules of the organization concerned, to join organizations of their own choosing without previous authorisation. Workers’ and employers’ organizations shall have the right to Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 71 <!-- page break --> Back to Content draw up their constitutions and rules, to elect their representatives in full freedom, to organize their administration and activities and to formulate their programmes”. The core requirements of this section are applicable to all Workers employed by the ASMOs, their members and Operators in the ASMOs System of Production. The development requirements in this section are only applicable to the ASMOs if they employ more than 10 Workers, and to the members and mining Operators in the ASMOs System of Production who employ more than 10 Workers.

3.14.1 Right to join a Workers’ organization Applies to: ASMOs Core You and your members ensure that all Workers are free to join a Workers’ organisation of their own choosing, and that Workers are free to participate in collective bargaining regarding their Year 0 working conditions. You do not deny these rights in practice. You have not opposed these rights in the last two years. Guidance: “Workers organization” is any organization of Workers with the objective of “furthering and defending the interests of Workers” (ILO Convention 110, Article 69). If your ASMO has opposed these rights in the last two years, you and your members may still fulfil this requirement if your circumstances have changed substantially - for example through a change of management.

3.14.2 No discrimination against unionised Workers Applies to: ASMOs Core You, your members, and your mining Operators ensure there is no discrimination against Workers or their representatives for organising, joining (or not) a Workers’ organisation or for Year 0 participating in the legal activities of a Workers’ organisation. You and your mining Operators keep a record of all terminated employment contracts. These records include the reason for termination and indicate whether the dismissed Worker was a member of a Workers’ organisation. Guidance: ‘Discrimination’ means Workers are treated differently or suffer any negative repercussions. Indicators of discrimination against Workers who form a Workers’ organisation or who are trying to form one include: closing production; denying access; making transport difficult; dismissals, terminations, transferring or relocating without good reason; downgrading or demoting Workers; denying them the overtime opportunities; and reducing wages, benefits or opportunities for vocational training.

3.14.3 Allowing trade union representatives to meet with Workers Applies to: ASMOs Core You, your members, and your mining Operators allow trade unions based outside the organisation to meet Workers and to share information. You, your members, and your mining Year 0 Operators do not interfere in these meetings. The time and place for these meetings are agreed in advance. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 72 <!-- page break --> Back to Content Guidance: Non-interference means that Workers have the freedom to decide their participation in meetings requested by trade unions or by Workers. External union officials can request meetings if the union is party to a collective bargaining agreement (CBA) at industry or national level. You or your mining Operators should be informed of these meetings in advance. If not, you do not have to allow them.

3.14.4 Time for Worker’s representatives Applies to: ASMOs Core When requested, you, your members, and your mining Operators provide Workers’ representatives paid time during working hours, facilities and resources for meetings with Year 0 Workers and to effectively carry out their functions. Guidance: Workers’ representatives include Occupational Health & Safety Committee members. Representatives and Workers are given time for meetings during working hours. When Workers’ representatives meet with management these meetings take place during working hours.

3.14.5 Social Dialogue Applies to: ASMOs Dev In the absence of a recognised active trade union (whether due to unions being forbidden by law, being managed by government and not members or other reason), then you, your Year 3 members, and your mining Operators support Workers who decided to democratically elect a Workers’ organisation. This Workers’ organisation will represent Workers in their negotiations with you to defend their interests. Regular exchanges will lead to sustained improvements in social dialogue, workplace cooperation and grievance procedures. Guidance: ‘Recognised union’ means one which is legally registered. If Workers need help in contacting a trade union, they can request support from Fairtrade. Social dialogue is defined by the ILO as all types of negotiation, consultation or information sharing among representatives of governments, employers and Workers, or between those of employers and Workers on issues of common interest relating to economic and social policy. For more information, please contact your Fairtrade producer support team. Social dialogue can involve two parties – employers and/or employers’ organisations, and Workers’ organisations – which “exchange information, consult each other or negotiate together, without government intervention”. Bipartite social dialogue most commonly deals with working conditions and terms of employment as well as the relations between Workers and employers. The objective is to improve labour relations and the organization of the labour process (https://www.ilo.org/topics-and-sectors/social- dialogue-and-tripartism).

3.14.6 Raising awareness about Workers’ rights and duties Applies to: ASMOs Dev You, your members, and your mining Operators and subcontractors provide training for Workers, supervisors, and managers to improve their awareness of Workers’ rights and duties. Year 3 Training takes place during paid working time. Guidance: Fairtrade may provide training on Workers’ rights and duties for Workers and management to create a common understanding of the topic within the System of Production. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 73 <!-- page break --> Back to Content

3.15 Conditions of employment Intent and scope: This section intends to ensure good practices regarding the payment of Workers and their conditions of employment based on ILO Conventions C95 (Protection of Wages Convention), C100 (Equal Remuneration Convention). This section also intends to ensure good practices regarding sick leave, social security, maternity protection and Workers’ housing based on ILO Conventions C102 (Social Security (Minimum Standards) Convention) Part III, C121 (Employment Injury Benefits Convention), C130 (Medical Care and Sickness Benefits Convention), and C183 (Maternity Protection Convention). This section is only audited when there are more than 10 Workers employed in the System of Production of the ASMO. It includes Workers employed by the ASMO, members and mining Operators.

3.15.1 Contract of employment Applies to: ASMOs Core All permanent Workers have a legally binding written contract of employment. You ensure that Workers have a signed copy of their employment contract and that they understand their rights Year 1 and duties, responsibilities, salary and work schedules as defined in the contract. The contract is verbally explained in a language understood by the Worker.

3.15.2 Permanent Workers Applies to: ASMOs Core All regular work is undertaken by permanently employed Workers of your ASMO, members or mining Operators in your System of Production. Year 0 You do not use production, quota or piecework employment to avoid time-bound contracts.

3.15.3 Subcontracted Workers Applies to: ASMOs Core If you contract a third party for hiring Workers, then the third party complies with all Fairtrade requirements. You ensure that third-party labour providers do not engage in fraudulent Year 0 practices, Workers recruited by them receive adequate protection, and no recruitment fees have been charged to the Workers. Guidance: “Adequate protection” means: the third party complies with national law and the criteria of this standard. Where applicable by law the third party is accredited with the relevant government agency.

3.15.4 Temporary Workers Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 74 <!-- page break --> Back to Content Year 3 All temporary Workers who are employed for a period of 3 months or more of uninterrupted services have a legally binding written contract of employment with a job description, signed by employee and employer.

3.15.5 Working hours Applies to: ASMOs Core Working hours and overtime comply with applicable law and industry standards. Workers are not required to work more than 48 hours per week on a regular basis. Year 1 Guidance: Exceptions to the 48hour requirement are possible when: • Workers are ‘on call’. Premium rates apply for overtime (see 3.15.9); • applicable national law allows longer periods of consecutive working days followed by longer consecutive periods of off days. Diverging regulations adapted to the local mining reality are accepted if the compensation of overtime and free days is equal to or exceeds the minimum requirement.

3.15.6 Atypical working hours Applies to: ASMO-direct rights, ASM Operators Core If your mining operation includes atypical working hours, you ensure compliance with applicable law and industry standards. These atypical working hours are clearly described in your internal Year 1 labour regulations, and they are approved by the relevant labour authority. You ensure that the average working hours over a maximum period of three weeks does not exceed eight hours per day. The maximum working time per day does not exceed 12 hours (including all breaks), and you ensure adequate rest breaks for the nature of the work. A maximum of 12 working hours per day is possible if agreed in a collective bargaining agreement, or if a risk management process has been carried out and regular health monitoring takes place to minimise health and safety impacts associated with extended working hours. Guidance: Diverging regulations adapted to the local mining reality are accepted if the compensation of overtime and free days is equal to or exceeds the minimum requirement. This standard applies for ASMO-indirect rights in the scenario of Workers direct or indirect hired by them for their own operations. 3.15.7 Applies to: ASMOs-indirect rights Core You and your members are aware of the adverse impacts of atypical working hours (strenuous working hours and no rest days). You create awareness about the impact of atypical working Year 3 hours on the health and safety of your members, and you collect data about the working time of your members. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 75 <!-- page break --> Back to Content Guidance: The data collected helps you to monitor the average number of working hours which should not exceed 8 per day.

3.15.8 Wages and conditions of employment Applies to: ASMOs Core You set wages for Workers and other conditions of employment according to legal or Collective Bargaining Agreement (CBA) regulations where they exist, or at regional average wages or at Year 0 official minimum wages for similar occupations, whichever is higher. You specify wages for all functions. Average income under profit-sharing agreements (where applicable) are not disadvantageous in comparison to fixed salaries.

3.15.9 Overtime regulation Applies to: ASMOs Core You do not require your Workers to work overtime. Overtime is allowable if it is voluntary and not used on a regular basis and does not extend over a period of more than 3 consecutive Year 1 months. It does not exceed 12 hours per week, unless exceptional circumstances apply. In all cases overtime rates apply. National legislation is complied with if it exceeds this requirement.

3.15.10 Overtime compensation Applies to: ASMOs Core You compensate overtime at a premium rate. The premium rate is paid at a factor of 1.5 for work performed on the regional day of rest, and public holidays and night work is paid at a factor Year 1 of 2 unless otherwise defined by national legislation, by CBA or by agreements with unions. If you compensate overtime by the allocation of time off work, you apply the premium factor.

3.15.11 Regular and documented payments Applies to: ASMOs Core You, your members and mining Operators in your System of Production make payments to all Workers at regularly scheduled intervals and document those payments with a pay slip Year 0 containing all necessary information. Payments are made in legal tender. Payment in the form of vouchers, coupons or promissory notes is prohibited. You may make payment in kind only if a Worker has given their written consent and only after they have been given the option to be paid in cash/bank transfer. Payments in kind in the form of goods or services are regulated, documented and conform to national laws and regulations. You ensure Workers are not deprived of cash remuneration. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 76 <!-- page break --> Back to Content

3.15.12 Deduction from salaries Applies to: ASMOs Core You do not make deductions from salaries, unless they are permitted by national laws, fixed by a Collective Bargaining Agreement or if the employee has given his/her written consent. Year 1 If you make deductions from salaries for services you provide, the amounts are in line with the actual costs incurred, and deductions are not used for disciplinary purposes. Guidance: An example of deductions for services provided includes housing, and in some cases Premium loan repayments are deducted from the payroll.

3.15.13 Earnings for Self-employed Miners Applies to: ASMOs-indirect rights Core You and your members define strategies and start actions which allow self-employed Miners to earn equal incomes, and the same working conditions and social protection, as contracted Year 3 Workers receive in the sector. Guidance: This is particularly encouraged in cases where the income from self-employed work is the most important source of livelihood for your members’ families. Equal income means that it should be equal to a hired Worker who works the same time and conducts the same type of work.

3.15.14 Adequate periods of rest Applies to: ASMOs-direct rights, ASM Operators Core All Workers in your System of Production are provided with adequate periods of rest which comply with applicable laws and/or agreements, including: Year 0 • appropriate breaks during working hours - especially when the work is strenuous, dangerous or monotonous - to enable Workers to recover their vigilance and physical fitness • sufficient breaks for meals • daily or nightly rest • weekly rest Guidance: Applicable laws and/or agreements mean local and/or national laws, approvals by inspectorates or collective agreements. The terms “appropriate” and “sufficient” relate to the definition of duration of breaks by law, or in the CBA, or in the internal labour and occupational health and safety regulations. 3.15.15 Applies to: ASMOs-indirect rights Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 77 <!-- page break --> Back to Content Year 1 You promote among your members the practice of adequate periods of rest. As a minimum these include: • appropriate breaks during working hours - especially when the work is strenuous, dangerous or monotonous - to enable your members to recover their vigilance and physical fitness • sufficient breaks for meals • one weekly rest day Guidance: You can create awareness among your members by asking them about their practices and informing them about the importance of breaks for their health. The terms “appropriate” and “sufficient” relate to the definition of duration of breaks by law, or in the CBA, or in the internal labour and occupational health and safety regulations.

3.15.16 Sick leave, parental leave, social security, and other benefits Applies to: ASMOs–direct rights; ASM Operators Core Social security provisions (including, but no limited to, sick leave, annual leave and parental leave) and non-monetary benefits are set at the same level or higher than national laws, sector Year 1 CBA regulations where they exist or agreements signed between the Workers' organisation and the employer, whichever is the most favourable for the Worker. 3.15.17 Applies to: ASMOs-indirect rights Dev You create awareness and understanding of the social protection for your members as self- employed Miners. You support your members in accessing social protection. If your ASMO Year 3 hires Workers, you apply the provisions of 3.15.16. Guidance: You can start by designing and implementing strategies to achieve coverage of sick leave, annual leave, parental leave, social security provisions and non-monetary benefits based on national law.

3.15.18 Paid leave Applies to: ASMOs Core You grant Workers at least 2 weeks of paid leave per year at minimum, not including sick and casual leave. Periods of annual leave is in line with national legislation and/or with agreements Year 3 detailed in a specific or sectorial CBA, if either of these exceeds 2 weeks. Guidance: ‘Week’ means a calendar week.

3.15.19 Wage level increase Applies to: ASMOs Dev You regularly increase wage levels. Year 3 Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 78 <!-- page break --> Back to Content Guidance: The wage increase is intended to raise wage levels to an eventual living wage.

3.15.20 Equivalent benefits for all Workers Applies to: ASMOs Dev Local, migrant, seasonal and permanent Workers receive equivalent benefits and employment conditions for equal work performed. Year 3 In cases where equivalent benefits, such as a pension scheme or social security, cannot be made available to a set of Workers, e.g. migrant or temporary/seasonal Workers, these Workers receive the equivalent or an alternative through other means.

3.15.21 Health and pension Applies to: ASMOs Dev You make every effort to ensure that all registered Miners benefit from a social security scheme covering health and pension. Year 3

3.15.22 Accidents, disease, disaster Applies to: ASMOs-direct rights, ASM Operators Core You provide a social security protection system for Workers directly employed by you to cover them against accidents and occupational disease. Year 1 You set up a fund or collection system to support Miners not covered by your social security system in case they are affected by accidents, occupational disease, or disasters. If you hire your Workers through a contractor, you ensure that the contractor complies with this requirement. Guidance: Benefits are based on national regulations, or in their absence, on ILO Convention C121 Employment Injury Benefits Convention, 1964.

3.15.23 Social Security System Applies to: ASMOs-direct rights, ASM Operators Core You ensure that mining Operators in your System of Production have implemented a social security protection system for the Workers directly employed by them in case they are affected Year 3 by accidents or occupational disease. You set up a fund or collection system to support Miners working in their units, who are not covered by the social security system, in the event of accidents, or occupational disease. If mining Operators hire their Workers through a contractor, they ensure that the contractor complies with this requirement. Guidance: Benefits are based on national regulations, or in their absence, on ILO Convention C121 (Employment Injury Benefits Convention, 1964). Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 79 <!-- page break --> Back to Content 3.15.24 Applies to: ASMOs-indirect rights Core In the absence of a social security protection system for your Workers, members/self-employed Miners, you promote options for access to social protection schemes which cover against Year 3 accidents or occupational disease. You and your members set up a fund or collection system to support Workers and members who are not protected by a social security scheme. Guidance: You research different options for access to basic social protection. You may consider group social protection insurance which members can join depending on their needs and financial circumstances.

3.15.25 Policy for widow(er)s Applies to: ASMOs Core You develop a policy to ensure that widows, widowers of a deceased member do not lose rights and obligations held by the deceased in the Mine and in the organization, in accordance with Year 1 the deceased’s capabilities and experience.

3.15.26 Reparation to widow(er)s and heirs Applies to: ASMOs Core In the event of a working related death of a Worker, you provide a rent or monthly economic contribution to their widow(er) and heirs if they are not already covered by social security Year 3 protection. The payment is negotiated and agreed between the members, and the duration of support is agreed between the parties but at least for all dependent children to reach the majority of age (18 years). The amount of the rent should be determined by the legal requirements, and in case of absence of local regulations it should be up to 50% of the wage previously earned by the Worker. Guidance: See also ILO convention C121 Employment Injury Benefits Convention, 1964.

3.15.27 Mining camps Applies to: ASMOs Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 80 <!-- page break --> Back to Content Year 3 You provide on-site workforce accommodation in a mining camp if it is necessary for reasons of work modality: • Workers are not residents of the sector • work is located a long way from centres of population or far from Workers’ homes • the nature of the job requires the Worker to be available at short notice • preventing disease or poor health If you provide on-site workforce accommodation in a mining camp, the structure of the buildings is safe and provides for decency, privacy, security and hygiene. The mining camp ensures: • separate beds for each Worker (shift Workers do not rotate the use of the same bed) • separate accommodation for women and men • an adequate supply of clean water • adequate drainage and separate sanitary conveniences for women and men • a reasonable number of toilets and bathing facilities with clean water per number of users, separate for women and men • adequate ventilation and, where appropriate, heating • common dining rooms, canteens, rest and recreation rooms and health facilities, where not otherwise available nearby or in the community • appropriate protection against heat, cold, damp, noise, fire, disease-carrying animals and insects. Guidance: Mining camps are established in accordance with national laws and regulations. You may also refer to ILO R115 - Workers' Housing Recommendation, 1961 (No. 115). Benchmarks for Workers accommodation can be found in the EBRD standards: https://www.ebrd.com/downloads/about/sustainability/Workers_accomodation.pdf

3.16 Occupational Health and Safety Intent and scope: This section intends to prevent accidents and harmful effects on the health of Miners, by the identification, prevention, and minimization of hazards, by promoting safe operations and working environments that protect Miners, by addressing health and safety measures, by setting up policies and practices to improve Occupational Health and Safety in the workplace. It is based on ILO Conventions C121 - Employment Injury Benefits, 155 (Occupational Health and Safety), and 176 (Safety and Health in Mines), that establish requirements for minimum security for all mining operations and expect Miners to comply. This section of the Standard is applicable to all Workers employed by the ASMO, members, and mining Operators in the System of Production.

3.16.1 Internal Occupational Health and Safety regulations Applies to: ASMOs-direct rights, ASM Operators Core You have developed internal occupational health and safety regulations in line with national laws and approved by your members. They are implemented in your System of Production. Year 1 Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 81 <!-- page break --> Back to Content 3.16.2 Applies to: ASMOs-indirect rights Core You have developed an occupational health and safety code of conduct and checklist for your System of Production in line with national laws. Your members approve the code of conduct Yea 1 and use the checklist to address health and safety at their mining site. Guidance: The checklist is an instrument to support awareness creation among your members and helps to identify potential and needed changes.

3.16.3 Occupational Health and Safety Committee Applies to: ASMOs Core You have a committee in place to make decisions and implement actions concerning health and safety at the workplace. The committee meets regularly. Year 0 The occupational health and safety committee is established according to the legal provisions of your country. The committee comprises both Worker and employer representatives. You provide the health and safety committee with the facilities, training and assistance necessary to perform its functions, including providing committee members with all necessary health and safety information. Guidance: The committee meets regularly and whenever necessary to discuss all aspects of health and safety. The committee should represent the different groups and actors in your System of Production (including Workers, self-employed Miners and women collectors). It assesses health and safety risks and incidents and develops measures to improve health and safety throughout the System of Production.

3.16.4 Hazard Identification Applies to: ASMOs-direct rights, ASM Operators Core You identify the hazards and assess the risks in your System of Production and take prevention and protection measures in line with national laws and regulations. These measures include: • eliminating or mitigating the hazard • controlling the risk at source Year 0 • minimising the risk by safe work systems • providing personal protective equipment (PPE) Guidance: Hazards include, inter alia, the risk of falling and Mine collapse, confined spaces, carbon monoxide and silica dust exposure. 3.16.5 Applies to: ASMOs-indirect rights Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 82 <!-- page break --> Back to Content Core You inform about the status of occupational health and safety in your System of Production and among your members. You identify the most common hazards and risks. You develop programmes to promote healthy and safe working conditions. Year 1 You provide your members with a simple form to report accidents and diseases.

3.16.6 Mining accidents and dangerous occurrences Applies to: ASMOs-direct rights, ASM Operators Core If an accident or dangerous incident takes place in your System of Production, you follow national laws and regulations. You evacuate and ensure treatment of injured persons and take immediate action to prevent further danger arising from the event. You investigate the cause Year 1 and take preventive actions to avoid similar events in the future. Guidance: The result of the investigation is recorded in a book provided for that purpose and the occupational health and safety committee is notified about the event. 3.16.7 Applies to: ASMOs-indirect rights Core If an accident or dangerous incident takes place in your System of Production, you follow national laws and regulations. You evacuate and ensure treatment of injured persons and Year 1 take immediate action to prevent further danger arising from the event. You maintain a record of mining accidents or dangerous incidents reported by your members, including information about any actions taken by the member. Guidance: This information is recorded in a book provided for that purpose and will help you to identify training or other services for your members to prevent similar events in the future.

3.16.8 Mining rescue plan Applies to: ASMOs Core You have a mining rescue plan and a first aid program depending on the kind of mining activity you develop. Year 1

3.16.9 Safety of processes, workplaces, machineries Applies to: ASMOs Core You and all employers in your System of Production ensure that work processes, workplaces, machinery and equipment on the production site are as safe as reasonably practicable. On Year 0 request of the certification body, the ASMO presents an investigation of a competent authority or independent inspection agency. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 83 <!-- page break --> Back to Content

3.16.10 Personal Protective Equipment (PPE) Applies to: ASMOs Core You ensure that all Workers and Miners entering operational areas of your System of Production are provided with PPE appropriate to the type and location of the Mine and the work Year 0 to be carried out. This equipment is paid for by the employer. ASMOs with indirect rights ensure that all Miners wear appropriate PPE. You provide the PPE to members who cannot afford it for themselves. Guidance: This applies as well to everyone entering your System of Production. Items of PPE provided should comply with the relevant national standards and criteria approved or recognized by the competent authority. PPE should be examined periodically by the user to ensure that it is in good condition and replaced or repaired, as necessary, by the employer at no cost to the user.

3.16.11 Personal Protective equipment (PPE) for toxic substances handling Applies to: ASMOs Core Miners and Workers handling mercury and cyanide use adequate PPE (respirators, gloves, clothes, etc.). You ensure that contaminated PPE and clothes are kept at the worksite, and you Year 0 provide training to ensure adequate handling and disposal.

3.16.12 Training on health and safety Applies to: ASMOs Core You provide easily understood health and safety training for all Miners and Workers. You instruct your Miners and Workers about any risks associated with the tasks assigned to Year 1 them. You implement activities to promote personal health and wellness. Guidance: You provide basic training and ensure that trainings are repeated regularly. Activities could be e.g. offer sports, social activities to support mental health, etc.

3.16.13 Medical checks Applies to: ASMOs Core You offer regular medical checks to all Miners and Workers in your System of Production. Medical records are kept and held confidential by the medical practitioner and/ or health Year 1 personnel. Personal medical information is not to be disclosed to the employer without consent from the employee. Guidance: Medical checks should pay particular attention to potential silica dust-related illnesses. You should keep data to identify prevalent health problems – including those resulting from exposure outside the Mine - with the aim of improving preventative health programmes. The medical practitioner can be asked to report to the directors and make suggestions for preventive measures. Medical assistance can be extended to family or community members. Health personnel include e.g. nurses or psychologists. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 84 <!-- page break --> Back to Content

3.16.14 Risks and vulnerabilities diagnosis Applies to: ASMOs Dev You work with local authorities or other relevant parties towards making a gender-based diagnosis of the main risks and vulnerabilities to accidents and disasters in the community due Year 3 to mining activity.

3.16.15 Awareness raising in the mining community Applies to: ASMOs Dev You raise awareness in the surrounding mining community about health and safety risks. Year 3

3.16.16 Access to information on health and safety Applies to: ASMOs Core You ensure that all Miners in your System of Production have access to information and basic training on health and safety in mining, its main risks and hazards, and how to prevent, prepare Year 0 for and respond to emergencies. 4 Business and Development Intent and Scope This chapter outlines the requirements that are unique to Fairtrade and intends to lay the foundations for empowerment and development to take place.

4.1 Development Potential Intent: Fairtrade should lead to the demonstrable empowerment and environmentally sustainable social and economic development of ASMOs, their members, Workers, mining Operators, their families and the local community. The intent of this section is to ensure that the direct beneficiaries of Fairtrade are members of the ASMOs, their families, Workers, mining Operators, and mining communities they live and Mine in. The Fairtrade Premium is an amount paid by the buyer to the ASMOs, in addition to the payment for their products. The Fairtrade Premium is a tool for development, supporting the ASMOs and the ASM community to realize their development objectives as laid down in the Fairtrade Premium Development Plan of the ASMO’s Fairtrade Premium Committee. This plan is meant for steering investment in the social, economic and environmentally sustainable development of the ASMOs and its Miners and through them, their families, Workers and surrounding community. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 85 <!-- page break --> Back to Content

4.1.1 Fairtrade Premium Committee Applies to: ASMOs-direct rights, ASMOs-indirect rights Core You create a Fairtrade Premium Committee (FPC) with representatives elected from of all types of artisanal and small-scale Miners registered as part of the Internal Fairtrade Supply Chain in Year 0 your System of Production. The number and gender of FPC members reflect the social composition of the Internal Fairtrade Supply Chain. You create the FPC to manage the Fairtrade Premium for the benefit of all members, mining Operators and Workers in the System of Production. The FPC assesses the needs and sets the priorities for the Fairtrade Premium Development Plan. Guidance: The FPC is independent from the ASMO board. However, members of the ASMO board may be elected as members of the FPC. The FPC may invite representatives of the community to attend meetings where projects related to the community are discussed to present their views and needs. FPC members are trained and supported to carry out their responsibilities. Capacity building begins in year 0 of certification to ensure that FPC members have enough knowledge to assume their functions. Support and training are provided by Fairtrade staff and consultants. The Internal Fairtrade Supply Chain is defined in section “Definitions”. 4.1.2 Applies to: ASM Operators Core You create a Fairtrade Premium Committee (FPC) with elected representatives of all different types of artisanal and small-scale Miners registered as part of the Internal Fairtrade Supply Year 0 Chain in your System of Production. The number and gender of FPC members reflect the social composition of the Internal Fairtrade Supply Chain. The FPC is responsible for taking decisions about using the Fairtrade Premium for the benefit of all members, mining Operators and Workers in your System of Production. It sets the priorities for the Fairtrade Premium Development Plan. Guidance: The FPC is independent from the ASM Operator board. However, one member of the board of the ASM Operator should be designated by members as a representative on the FPC. The representatives in the FPC will reflect the composition of the Internal Fairtrade Supply Chain at the time the election is carried out. FPC members are trained and supported to carry out their responsibilities. Capacity building begins in year 0 of certification to ensure that FPC members have enough knowledge to assume their functions. Support and training are provided by Fairtrade staff and consultants.

4.1.3 Internal rules of the Fairtrade Premium Committee Applies to: ASMOs–direct rights and ASMOs-indirect rights Core The FPC develops internal rules which are approved by the ASMO General Assembly. Internal rules do not discriminate, ensure continuity and are based on a democratic process. They Year 0 include elements such as the aims and composition of the FPC; the process for electing FPC members; the frequency of meetings; the criteria for selecting Fairtrade Premium Projects; the documentation and reports to be delivered; and the person responsible for finances. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 86 <!-- page break --> Back to Content Guidance: The internal rules set out the activities and responsibilities of the FPC as administrator of the Fairtrade Premium money. The rules ensure continuity, for example through rolling elections in which a proportion of seats are up for renewal every two or three years. The internal rules and any amendments to them are approved by the General Assembly before they are implemented. The directors and the General Assembly have the right to request amendments to the internal rules from the FPC, should they have a demonstrable negative structural, financial or social impact on your ASMO. 4.1.4 Applies to: ASM Operators Core The FPC develops its internal rules and communicates them to the board of directors. The rules do not discriminate, ensure continuity and are based on a democratic process. They include Year 0 elements such as the aims and composition of the FPC; the process for electing FPC members; the frequency of meetings; the criteria for selecting Fairtrade Premium Projects; the documentation and reports to be delivered; and the person responsible for finances. Guidance: The rules ensure continuity, for example through rolling elections in which a proportion of seats are up for renewal every two or three years. You have the right to request from the FPC amendments to the proposed internal rules, should these have a demonstrable negative structural, financial or social impact on your ASM. You provide the FPC with logistical and administrative support, particularly in the management of premium funds, project management and reporting.

4.1.5 Purpose and use of the Fairtrade Premium Applies to: ASM Operators Core Premium money is used for the economic, social and environmental improvement of the System of Production and for the socio-economic development and wellbeing of Workers, Year 0 families and communities. • System of Production: A minimum 40 percent of the Premium is used for economic, social and environmental ASM development projects. The ASM Operator is responsible for identifying, prioritising and implementing such projects, and must include the needs of other operations in the System of Production. • Workers: A minimum 30 percent of the Premium is used for projects which improve the working conditions, occupational health and safety and wellbeing of all Workers. The FPC is responsible to identifying and prioritising such projects, while the ASM Operator is responsible for implementing them. • Miners’ families and communities: A maximum 30 percent of the Premium is used for projects for the socio-economic development and wellbeing of Miners’ families and communities. The FPC is responsible for identifying, prioritising and implementing such projects. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 87 <!-- page break --> Back to Content Guidance: Examples of Premium projects in the System of Production, for Workers, families and communities: • Economic and/or production (e.g. increasing gold recovery, new technology to reduce mercury use). • Environmental protection (e.g. reducing mercury, fuel and water use, Mine closure) • Occupational health and safety (e.g. better PPE, workplace safety and risk prevention measures and training, infrastructure, services in mining camps). • Working conditions (e.g. salary increases, reductions in working hours, social security protection). • Wellbeing of Workers (e.g. housing improvements, health and safety improvements, access to medical assistance, education for children). • Socio-economic developments (e.g. alternative income generation, micro-credit programmes). Premium for economic and/or production, occupational health and safety, working conditions and environmental protection may be accumulated to finance large investments in the organisation and its mining Operators.

4.1.6 Approval by the General Assembly Applies to: ASMOs–direct rights, ASMOs–indirect rights Core Through your General Assembly you approve all decisions made on Fairtrade Premium as well as the internal rules of the FPC. Year 1

4.1.7 Approval by System of Production Assembly Applies to: ASM Operators Core Decisions concerning the Fairtrade Premium Development Plan and the internal rules of the FPC are approved by an assembly of ASM Operator members/owners, Workers and mining Operators from the Internal Fairtrade Supply Chain in your System of Production. Year 1 There is one joint Fairtrade Premium Development Plan. During the assembly: • ASM Operator members/owners decide on projects in the Fairtrade Premium Development Plan relating to economic and/or production; occupational health and safety; working conditions; and environmental protection, for every group in the System of Production. • Mining Operators and Workers decide on projects in the Fairtrade Premium Development Plan relating to the socio-economic development and wellbeing of the Miners, families and communities, to be implemented under the responsibility of the ASM Operator. Guidance: In larger workforces the internal rules may allow delegates to the System of Production assembly, with each group of Workers and mining Operators represented according to their numbers. The internal rules of the FPC include a clear description of the development of this assembly and its rules.

4.1.8 Needs assessment Applies to: ASMOs-direct rights, ASMOs-indirect rights Core With your support, the FPC carries out a needs assessment of the environmental, social and economic sustainable development of the organisation and the community, and how the Year 1 Fairtrade Premium can help promote it. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 88 <!-- page break --> Back to Content 4.1.9 Applies to: ASM Operators Core 1 With your support, the FPC carries out a needs assessment regarding the socio-economic and wellbeing development of Miners in your System of Production, their families and community. This assessment constitutes the base line for deciding how the Fairtrade Premium can help to promote development.

4.1.10 Decision making on Fairtrade Premium Development Plan Applies to: ASMOs Core The FPC defines the priorities of the Fairtrade Premium Development Plan based on an evaluation of the needs assessment (see requirement 4.1.8). Year 1 The FPC formulates and proposes the Fairtrade Premium Development Plan to the Board of Directors for approval by the General Assembly. Guidance: The Fairtrade Premium Development Plan proposed by the Premium Committee is democratically approved by the General Assembly. The General Assembly approves the Fairtrade Premium Development Plan and assumes legal responsibility for its implementation. In ASM Operators the Fairtrade Premium Development Plan is approved by the System of Production assembly (see 4.1.6-7). Once approved, the ASM Operator assumes legal responsibility for its implementation.

4.1.11 Fairtrade Premium Development Plan Applies to: ASMOs Core You support your FPC in the development of the Fairtrade Premium Development Plan. The FPC plans and documents at least one activity to promote the progress of your business, Year 1 organisation, members, mining Operators, Workers, community and/or environment. The plan is called the Fairtrade Premium Development Plan and includes: • Purpose and objectives; • Target group(s)/beneficiaries (e.g. men, women or all Workers, migrant and temporary Workers, family members; community); • Activities; • Roles and responsibilities; • Project budget (total / annual); • Project start and end date; • How the project will be monitored; • Date of approval of project by GA (if applicable). The plan is based on the evaluation of the needs assessment carried out by the FPC (see requirement 4.1.8-9). Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 89 <!-- page break --> Back to Content Guidance: Planning, implementing and evaluating the plan will stimulate and increase the participation of members in your own organisation. It is good practice to plan activities that respond to the needs of your organisation, members, Workers and communities. Your organisation has the right to choose any activities that your members agree on and are important for your particular situation, aspirations and priorities. Upon your request, Fairtrade can provide the List of Ideas for the Fairtrade Premium Development Plan which includes activities that have been successful in other organisations. This list is for guidance only, and you are encouraged to develop your own activities. The Fairtrade Premium Development Plan proposed by the FPC is democratically approved by the General Assembly (or, in the case of ASM Operators, by the System of Production assembly). The General Assembly approves the Fairtrade Premium Development Plan, and you are legally responsible for implementing it.

4.1.12 Responsibility on the Fairtrade Premium Development Plan Applies to: ASMOs Core Through the FPC, you: • analyse whether the Fairtrade Premium Development Plan is aligned with the needs Year 1 assessment; • (if applicable) make justified adjustments in documented consensus with the Premium Committee; • adopt the Fairtrade Premium Development Plan; • recommend approval to the General Assembly; • assume the responsibility for its implementation. Guidance: In an ASM Operator set-up you recommend approval of the Fairtrade Premium Development Plan to the Assembly of members/owners and mining Operators and Workers.

4.1.13 Reporting Applies to: ASMOs Core You write the annual Fairtrade Premium Development plan report, and you document the project results. With your support, the FPC presents the results of the Fairtrade Premium Year 1 Development Plan to the General Assembly every year. You document this presentation. The report answers the following questions: • Were the actions carried out (yes/no)? If not, why not? • When? • How much did they cost? • Was the objective achieved or is further action needed? You send the report and the project documentation to reporting@fairtrade.gold within 10 working days after the General Assembly. Guidance: This requirement aims to support you and your members to self-monitor your own performance against the original plan and evaluate its success. There can be several reasons why a plan was not carried out as originally envisaged or why it did not reach its objectives. Your members, Workers and mining Operators need to be informed about this. For larger Premium amounts involving multiple projects, the FPC may recommend employing administrative staff paid by the Premium. ASM Operators should support the FPC to present the results of the Fairtrade Premium Development Plan to the system of production assembly every year. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 90 <!-- page break --> Back to Content

4.1.14 Bank account for Fairtrade Premium Applies to: ASMOs Core You have a separate bank account for managing the Fairtrade Premium. Year 1 Guidance: if bank regulations and national money laundry laws permit, you have a double signature procedure in place: one signatory from the FPC and one from the ASMO.

4.1.15 Accounting system Applies to: ASMOs Core You have an accounting system for the Fairtrade Premium income and expenditure in place, to manage the Fairtrade Premium transparently. Year 1

4.1.16 Bank account records Applies to: ASMOs Core All books relating to the Fairtrade Premium bank account are available to all FPC members. You prove that the Fairtrade Premium is used in line with the rules and the Fairtrade Premium Year 1 Development Plan.

4.1.17 Financial audit of the Fairtrade Premium Applies to: ASMOs Core If, in the last year, the Fairtrade Premium was equal to or more than USD 150,000, you contract an external financial auditor to audit your Fairtrade Premium accounts based on the use defined Year 1 in the Fairtrade Premium Development Plan. Guidance: The auditor should be approved by the relevant authorities to carry out tax and related financial audits. This requirement aims to confirm that the Fairtrade Premium has been properly managed. Organisations receiving Premium below USD 150,000 can opt for best practice and contract a financial company to audit their Fairtrade Premium.

4.1.18 Proactive information Applies to: ASMOs Core You proactively inform the Local Community and other beneficiaries about the Fairtrade Premium Development Plan. Year 1 Guidance: Local Community or other beneficiaries’ representatives may be invited to meetings related to project which are suggested for implementation in the community. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 91 <!-- page break --> Back to Content

4.2 Democracy, Participation and Transparency Intent: This section intends to ensure that the ASMOs facilitates the social and economic development of its members, Workers, mining Operators, their families, and the local community, and guarantees that the benefits of Fairtrade reach them. The organization must therefore have democratic structures in place and a transparent administration, which allows members and the board to have effective control over the management of the ASMO, including the decisions about how Fairtrade benefits are shared. Members should be able to hold the board accountable for its activities. Furthermore, there must be no discrimination regarding membership and participation. There should be no gender discrimination. Fairtrade International follows ILO Recommendation R193 “on the promotion of cooperatives” and the Guidance Notes to the Co-operative Principles from the International Cooperative Alliance, which are based on the cooperative principles of “voluntary and open membership, democratic member control, member economic participation, autonomy and independence, education, training and information, cooperation among cooperatives and concern for the community”. Fairtrade International extends these principles to primary producer organizations (cooperatives, associations or other types of organizations) and to umbrella organizations where they exist.

4.2.1 Organizational structure Applies to: ASMOs Core You have a legal, transparent and democratic organizational structure in place, which enables effective control by the members. This includes: Year 0 • a General Assembly as the highest decision-making body where all major decisions are discussed and taken; • equal voting rights for all members; and • if you have over ten registered Miners, an elected Board, chosen in free, fair and transparent elections. Guidance: Staff hired by your organization will be controlled by the Board, which is in turn controlled by the General Assembly. In the General Assembly members can either vote directly or through a system of elected delegates if you choose so. The system is based on the principle that each member or member organization has the equal or proportional number of delegates.

4.2.2 Following rules and regulations Applies to: ASMOs Core You follow your own rules and regulations such as your constitution, by-laws and internal policies (including those relating to elections, decision making, membership processes, board Year 0 term limits and, if applicable, a delegate system for the General Assembly).

4.2.3 Annual General Assembly Applies to: ASMOs Core You hold a General Assembly at least once a year. Year 0 Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 92 <!-- page break --> Back to Content

4.2.4 General Assembly minutes Applies to: ASMOs Core Minutes of the General Assembly are taken by the Secretary and signed by the President of the Board and at least one other member. The minutes include a list of participants at the Year 0 General Assembly.

4.2.5 Approval by the General Assembly Applies to: ASMOs Core You present the annual report, budgets and accounts to the General Assembly for approval. Year 0 Guidance: This requirement is common in most legal regulations for organizations of this kind.

4.2.6 Informing members Applies to: ASMOs Core You inform your members/ owners in good time when the General Assembly will take place. Year 0

4.2.7 Sharing audit results with members Applies to: ASMOs Core You share Fairtrade audit results with your members/owners and with the FPC following each audit, in a format and language accessible to them. Year 3 In ASMOs with an occupational health and safety committee and/or a Trade Union/Workers organisation, the result is as well shared with these committees. Guidance: ‘Audit results’ includes an explanation or summary of non-compliances identified by the certification body in their Closing Report, and the corrective measures proposed by you and accepted by the certification body. The result can be shared in the General Assembly, in other meetings or through other channels (e.g. verbally, in written form, bulletin, newsletter, app, etc.). This is an opportunity for members to be more aware and involved in the certification process.

4.2.8 Training on internal mechanisms Applies to: ASMOs Core You provide training to your members/ owners on internal mechanisms to facilitate their control over your administration. Year 3 Guidance: This will increase members’/ owners understanding and awareness of operations enabling them to participate more actively in your administration and improve the flow of information from the Board to members about your business and policies. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 93 <!-- page break --> Back to Content

4.2.9 Members’ participation Applies to: ASMOs Dev You enhance the members/ owners’ participation in the organization. Year 3 Guidance: This enhancement can be done through training, information sessions, etc. You can also monitor the members/ owners’ commitment within the organization both quantitatively (participation rate) and qualitatively (how/which members/ owners are active during meetings, etc)

4.2.10 Administration and bookkeeping Applies to: ASMOs Core You have an administration in place with at least one person or committee who is responsible for managing the administration and the bookkeeping. Year 0

4.2.11 Accessibility of records and books Applies to: ASMOs Core You keep records and books that are accessible to all members/owners. Year 0

4.2.12 Signatories of bank account Applies to: ASMOs Core You have a bank account with more than one signatory, unless it is not possible. Year 0 Guidance: it is highly recommended to have more than one official signature on your bank accounts, as a measure to prevent non-planned events with a potential disruption on your normal operation and business continuity, due the unplanned absence of the person with the signature on your bank accounts. Your practices around bank accounts and money management are in the framework of your anti-money laundering policy.

4.2.13 Communication to the community Applies to: ASMOs Core You communicate to the community to ensure they are informed about Fairtrade, its principles, and its benefits, and activities of the ASMO, that impact the community. Year 0 Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 94 <!-- page break --> Back to Content

4.3 Non-discrimination Intent: Fairtrade International follows the Universal Declaration of Human Rights on ending discrimination. The Declaration rejects “distinction of any kind such as, race, colour, sex, language, religion, political or other opinion, national or social origin, property, birth or other status” (Article 2). Discrimination is making an unfair distinction in the treatment of one person over another on grounds that are not related to ability, merit or age. This section intends that these principles are followed including in countries, which have not formally approved the Declaration at the national level. Fairtrade is a social standard aiming to support the development of its beneficiaries. The “positive discrimination” of members from disadvantaged or minority groups is therefore intended. This also includes the supportive membership criteria of women Miners’ organizations, indigenous Miners’ organizations, or similar organizations where a common characteristic determines common development goals.

4.3.1 No discrimination Applies to: ASMOs Core Your rules for registration (inclusions into or exclusion from the System of Production) do not discriminate based on race, colour, gender, sexual orientation, disability, marital status, age, Year 0 religion, political opinion, language, property, nationality, ethnicity or social origin. You do not discriminate regarding participation, voting rights, the right to be elected, access to markets, access to training, technical support or any other benefit or obligation. Guidance: Where particular forms of discrimination exist within an economic sector or geographical region, you are encouraged to show progress towards removing them, addressing them in your Fairtrade Premium Development Plan.

4.3.2 Gender Policy Applies to: ASMOs Core You develop and implement a gender policy. You ensure the members and mining Operators in your System of Production are aware of this policy and its contents. You ensure that women Year 1 are involved in the development and implementation of the policy. Guidance: Gender equality is the concept that all human beings are free to develop their personal abilities and make choices without the limitations set by stereotypes, rigid gender roles or prejudices. Fairtrade supports women to make strategic life choices which were previously denied to them. The general aim of the policy is to promote gender equality. In particular, it aims to increase women's active and equal participation in Fairtrade and to create more opportunities for women and girls to access the equitable benefits of Fairtrade. In line with best practice, the policy includes a statement from the organisation committing to women’s autonomy and gender Equality; the purpose of the policy and its scope; actions to make it known such as awareness raising and training activities; and its implementation and monitoring. The policy should include the promotion of participation of women in ASMOs, Boards, leadership positions and other structures within the organisation; measures against sexual harassment; a grievance mechanism for addressing complaints; a whistleblowing policy; and the collection and use of gender disaggregated data (members, training and awareness training sessions, management and supervisory positions, Board members). In line with best practice, you should invest in projects and programmes focusing exclusively on women’s needs and which reduce the burden of care and work on women as this frees up time for them to participate in meetings. The policy can also be linked to broader anti-discrimination policies covering, for example, ethnicity, age or other groups (e.g. Young People, Workers, families). Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 95 <!-- page break --> Back to Content

4.3.3 Equitable representation of women Applies to: ASMOs Dev Appropriate measures are taken to ensure equitable representation and participation of women in the ASMO. Year 3

4.3.4 Access to resources and innovation for women Applies to: ASMOs Dev Women Miners and minority groups have equal access to Mineral resources and technological innovation within your System of Production. Year 3

4.3.5 Identification of disadvantaged/minority groups Applies to: ASMOs Dev You identify disadvantaged and minority groups within your System of Production. Year 3

4.3.6 Programmes for disadvantaged/minority groups Applies to: ASMOs Dev You have programmes in place related to the disadvantaged/minority groups that you have identified, to improve their social and economic position in your System of Production. Year 3 Guidance: You are expected to show how you directly support your members, Workers and mining Operators in your System of Production from disadvantaged or minority groups in participating actively in your organization, for example by delegating organizational responsibilities. You are encouraged to give special attention to the participation of women Miners. You are encouraged to include these programmes within the framework of your Fairtrade Premium Development Plan.

4.4 Pre-finance Intent: The lack of ready cash is often an impediment for ASMOs to ensure it can extend its Internal Fairtrade Supply Chain to all the certified Precious Metals that the Miners in its System of Production produce. In consequence, gold that could be sold as Fairtrade can end up being sold to the traditional local markets (gold shops) particularly in situations where the Miner needs to sell daily. In addition, local Traders often play the role of financing the Miners and lending money for equipment, supplies or even family emergencies. Therefore, pre-finance can play a key role in ensuring that the Miner’s organization can gain a level of autonomy and break away from a form of historic dependency and “economic slavery”. For this section, the Trader Standard requirements for all Fairtrade products apply. The requirements below come on top of these, as they are specific to the Fairtrade Precious Metals. Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 96 <!-- page break --> Back to Content Local and national legislations take priority where they conflict with any Fairtrade requirement on pre- finance.

4.4.1 Management of pre-finance Applies to: ASMOs Core You have a transparent mechanism for the management of pre-financing provided by Traders. Year 0

4.4.2 Pre-finance percentage Applies to: Traders Core You provide after a successful trial period at least forty percent of pre-finance of the value for each consignment, unless the requested amount is lower. Year 0

4.5 Pricing Intent: The intent of this section is to ensure that the considerable efforts of organizations and their members to be Fairtrade certified are appropriately rewarded through the payment of the Fairtrade Price and Premium. Due to the nature of mining, determining a cost of sustainable production (COSP) is not always feasible. Therefore, the Fairtrade Minimum Price (FMP) is set based on the London Bullion Market Association (LBMA) fixing for gold and silver and the London Platinum and Palladium Market (LPPM) for platinum. Fairtrade Minimum Prices and Premiums are listed in the pricing database, which is published on the Fairtrade website. Fairtrade artisanal and small-scale precious metal mining is aimed at promoting socially and environmentally responsible and sustainable development in ASM communities. The Fairtrade Premium is as such not only intended as a “reward” for compliance with responsible mining practices, but also as a vehicle to deliver to the Miners the funds necessary for development. Responsible mining is a vision of artisanal and small-scale mining without environmental contamination and environmental Rehabilitation. The Fairtrade Eco Premium paid for the eco precious metal acknowledges the additional voluntary efforts from the ASMOs to produce the Fairtrade Precious Metals.

4.5.1 Payments steps Applies to: Payers, Conveyors, Traders Core Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 97 <!-- page break --> Back to Content Year 0 The relevant assay, price fixing and payment steps are defined in the contractual agreement between ASMO and buyer (see 2.3.8). For gold and other Precious Metals, the price and Fairtrade Premium payment is made in accordance with good business practice unless agreed otherwise. You make a down payment of the agreed price, based on the purity determined by the ASMO, no later than the next business day after the confirmed shipment. You make the final payment of the price and the payment of the total Fairtrade Premium no later than the next business day after assay. For all Fairtrade Precious Metals, Conveyors ensure that payment to the Miners is made no later than one business day after receipt of payment from the Fairtrade payer. Guidance: Good practice in well-established business relationships means down payment of the price is made one business day after the shipment has left the point of export in the mining country.

4.5.2 Fairtrade Premium Applies to: Fairtrade Payers, Conveyors Core You pay the Fairtrade Premium (Fairtrade Premium and Fairtrade Eco Premium if applicable in addition) based on the purity content of the raw or doré bar defined by the assay, and the total weight of pure metal. Fairtrade Eco Premium payments are indicated on a separate line Year 0 on all invoices, to ensure transparency. Guidance: The value of the Fairtrade Premium and Fairtrade Eco Premium for Precious Metals is listed in the pricing database, which is published on the Fairtrade website.

4.5.3 Contracted Operator Applies to: Traders Core If the ASMO has no trade function or export permit (see 2.3.11), the contracted Operator may act as pro-bono intermediary for price and Fairtrade Premium transfer. Year 0 Fairtrade Standard for Gold and Associated Precious Metals for Artisanal and Small-scale Mining 98 <!-- page break -->