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ARTISANAL AND SMALL-SCALE MINING (ASM) COBALT FRAMEWORK CONSULTATION


GLOBAL CONSULTATION PROVIDED BY THE RESPONSIBLE COBALT INITIATIVE (RCI) AND THE
GLOBAL BATTERY ALLIANCE’S COBALT ACTION PARTNERSHIP (GBA CAP)




BACKGROUND

The Responsible Cobalt Initiative (RCI) and the Cobalt Action Partnership (CAP),
and their supply chain partners, have come together to foster the establishment
of transparent, verifiable and responsible ASM cobalt value chains.

The Artisanal and Small-Scale Mining (ASM) Cobalt ESG Management Framework
(hereinafter referred to as ASM Cobalt Framework) is a progressive set of
expectations for the responsible sourcing of artisanal and small-scale mined
cobalt in the Democratic Republic of the Congo that has been developed,
consulted on, and supported by global cobalt supply chain actors, governments,
international organizations, non-governmental organizations, and cobalt
stakeholders.

In 2020, the Responsible Cobalt Initiative (RCI) entrusted The Impact Facility
(TIF) to further develop a draft framework for ASM cobalt initially composed by
the founding members of the Fair Cobalt Alliance (FCA). This resource was shared
with the Responsible Minerals Initiative (RMI) and the Cobalt Action Partnership
(CAP) partners for their feedback, and to serve as a starting point for the
development of a common set of global expectations for responsible-produced
cobalt across the supply chain. Since that time, the RCI and CAP have held
introductory meetings with key DRC and global stakeholders, benchmarked the
framework against relevant DRC standards and laws as well as other ASM
standards, and made key changes to the format and content of the original
document in line with key stakeholder feedback.

All the organizations working together recognize that on-the-ground improvements
are needed to the ASM cobalt mine sites. Coordinated action and shared
responsibility of all stakeholders across the cobalt supply chain is needed to
produce and source ASM cobalt responsibly, respecting the human rights of all
actors within their supply chain and contributing to positive impacts in the
communities where their materials are sourced.

To achieve this goal, it is first necessary to reach a consensus with all
stakeholders in the upstream and downstream of the cobalt supply chain on the
threshold (minimum acceptable procurement requirement) for ASM cobalt, and then
to channel funding and the provision of technical assistance for mine site
improvements. Investments in mine sites, along with regular monitoring and
assessment against the ASM Cobalt Framework which establishes clear, viable, and
progressive requirements, will ultimately help to build a more inclusive and
responsible cobalt supply chain.

Demand is growing for cobalt, and demand for responsibly sourced cobalt is
growing even more rapidly. Ensuring there is a sufficient, sustainable supply of
cobalt means including ASM miners – both women and men – as part of the process.
Inclusivity and widespread support for miners is key. ASM provides a vital
lifeline for millions of people worldwide. Our intention is to safeguard human
rights and promote environmental stewardship by working with as many ASM sites
as possible to improve conditions at the mine sites and within mining
communities.

For more information on the history of this process, please see the ASM Cobalt
Framework Vision.


LEARN ABOUT OUR GLOBAL CONSULTATION
TO DEVELOP A FRAMEWORK FOR THE RESPONSIBLE PRODUCTION OF ARTISANAL AND
SMALL-SCALE MINING (ASM) COBALT FROM THE DRC.


CONSULTATION OBJECTIVES

The objective of this stakeholder consultation process is to solicit input into
the development of a common, global set of expectations for responsible ASM
cobalt production that achieves progressive, measurable improvements of miners’
working conditions and livelihoods and provides a globally recognized threshold
for acceptability of cobalt by the entire value chain.

Simple, progressive, and uniform sourcing expectations that are validated via a
multi-stakeholder consultation across the entire value chain provide for greater
clarity for all, and more specifically, they:

 * Support the government’s formalization efforts for the ASM cobalt sector.
 * Enable improvements at mine sites and contribute to an increase in the
   quality of life of mining communities.
 * Channel investment into mine site improvements from industry stakeholders.
 * Ensure cobalt is produced to a standard that complies with the DRC’s legal
   requirements and meets global market expectations.
 * Provide all supply chain actors with more visibility to mine site
   performance.

We invite all stakeholders to engage in this process, from participation in the
consultation to engagement in the implementation of the ASM Framework at ASM
sites.




AVAILABLE NOW:
REPORT FROM STAKEHOLDER CONSULTATIONS ON THE ASM COBALT ESG MANAGEMENT FRAMEWORK

With the goal of developing an inclusive and effective ASM Cobalt Framework, the
Global Battery Alliance’s Cobalt Action Partnership commissioned a global
stakeholder consultation. The report details insights, priorities, and
recommendations from more than 200 key stakeholders across the value chain.
Stakeholder consultations and the report were carried out by IMPACT and RESOLVE.

Download


DRAFT ASM FRAMEWORK OVERVIEW

The ASM Cobalt Framework establishes a set of expectations in environment,
social and governance (ESG) aspects for the mine sites in alignment with
relevant Congolese laws and regulations, the OECD Due Diligence Guidance and the
EGC Standard, with progressive levels of achievement formed to help sites meet
these expectations over time and with assistance.

The Framework is built on the fundamental principle of pragmatic, continuous
improvement to ensure its applicability and viability, rather than creating
hurdles to market entry that risk excluding the very communities that need
support.

The standards reviewed in the development of the draft ASM Framework include,
but are not limited to:

Certified Trading Chains (CTC)

EGC Responsible Sourcing Standard

CRAFT

Fairtrade Standard for Gold and associated Precious Metals for Artisanal and
Small-Scale Mining

OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from
Conflict-Affected and High-Risk Areas

Chinese Due Diligence Guidelines for Responsible Mineral Supply Chains

Cobalt Refiner Supply Chain Due Diligence Standard

The ASM Cobalt Framework builds on current applicable standards for ASM (see
text box) and is organized around seven (7) key principles.

--------------------------------------------------------------------------------

Principle 1: Good organizational governance

Principle 2: Respecting workers’ rights

Principle 3: Respecting and complying with the law

Principle 4: Ensuring workers’ occupational health and safety (OHS)

Principle 5: Contributing to Community Development

Principle 6: Protecting the environment and stewarding natural resources

Principle 7: Trading transparently and fairly

--------------------------------------------------------------------------------

Under each of these principles, the proposed expectations are listed as
requirements and divided among four levels:

Pre-requisite

Requirements confirm the mine operator commitment to working transparently
towards meeting continuous improvement goals stipulated by the Framework, aiming
at compliance with national and local law.

Pre-investment (Basic)

Requirements include minimum expectations that should be achievable without
(significant) investment or external technical training. These requirements
stipulate practices needed to address the risks specified in Annex II of the
OECD’s Due Diligence Guidance.

Continuous Improvement

Requirements describe enhanced production practices (to ensure workers’ health
and safety, increased market transparency, reduced environmental impact of
mining activities, etc.) that require access to investment and technical support
to be achieved.

Best Practice

Requirements that represent best practices referenced by CTC and other
recognized frameworks, to be aspired to over time.

As long as the mining cooperatives can make progress on improvements deemed to
be within their own capacity (i.e., Pre-investment), then market actors will
meet the mining cooperatives where they are and invest and engage to
collectively achieve the more financially intensive improvements.


ENABLING TECHNICAL ASSISTANCE AND INVESTMENT

To effectively support the ASM Cobalt Framework’s adoption and improved
practices on the ground, it is necessary to clarify the responsibility of all
relevant supply chain actors, and further explore fund-raising mechanisms to
invest in cobalt ASM governance, aiming to improve working conditions on the
ground where it matters the most for the miners and create the incentives and
conditions for ASM operators to access to the legal market.The mechanism to
deliver this support will be informed by the consultation and in accordance with
the joint vision of all parties.



NGOs will play a strategic and complementary role (especially at the community
level) to ensure that the private sector is investing and held accountable for
the creation of a more robust and responsible supply chain.

--------------------------------------------------------------------------------


CONSULTATION AND ENGAGEMENT PROCESS

The global stakeholder consultation on the Draft ASM Cobalt Framework took place
throughout the months of June and July 2021, supported by Responsible Cobalt
Initiative (RCI) and the Global Battery Alliance’s Cobalt Action Partnership
(GBA CAP).

It was carried out on behalf of the CAP by two facilitators, IMPACT and RESOLVE,
who collectively have decades of experience carrying out multi-stakeholder
consultations related to local, national, and regional governance; beneficiation
and market expectations of high value commodities; and natural resources in high
risk areas.

In-person consultations were held in Lubumbashi and Kolwezi in the Democratic
Republic of Congo (DRC) as well as in the nation’s capital, Kinshasa. A
mixed-research method was deployed: workshops, individual interviews, focus
groups, and small technical group meetings. The intent was to enable a large and
representative number of actors in the artisanal mining sector, including women
and men from surrounding communities, to directly inform the process. DRC
stakeholders were also invited to share comments in French (or English) on the
consultation website and could submit detailed comments on the ASM Cobalt
Framework within that document.



Likewise, for the international consultation outside of the DRC, a variety of
methods will be used to allow multiple pathways for global industry, civil
society, multi-stakeholder initiatives, and other international organizations to
share input. Any interested, international stakeholder will be welcome to share
individual feedback via an online survey and can submit detailed comments on the
ASM Cobalt Framework within that document. The consultation will also leverage
one-on-one interviews and group webinars organized in partnership with industry
associations.

We welcome and actively invite interested international stakeholders to
participate in the consultation through the above channels. The consultation
sessions/interviews will provide simultaneous interpretation/consecutive
interpretation in French, English, and Chinese depending on the language needs
of the participants.

The results of the consultations will subsequently be made public in French,
English, and Chinese.

For more information from RCI, please email rachelzhou@global-rci.org.

For more information from GBA CAP, please email cap@responsiblebusiness.org.

ASM Cobalt Framework Consultation Overview

Download

ASM Cobalt Framework Vision and Approach

Download

Draft ASM Cobalt Framework

Download


STAKEHOLDER ONLINE DIALOGUES
(JUNE / JULY 2021)


24th June 2021
18:00 – 19:30 CEST | 12:00 – 13:30 EDT

Framework Overview and Objectives
In this session, presenters will briefly provide an update on CAP, then will
outline the consultation process and present an overview of the Cobalt ASM
Framework including its development journey. Facilitated discussion will seek
participant feedback on the extent to which the Framework is designed to address
and achieve intended its responsible sourcing objectives. We will also seek
feedback on the principles embedded in the framework.

Languages:

English / French Translation

Hosted by:
Resolve


6th July 2021
15:00 – 16:15 CEST | 09:00 – 10:15 EDT

Framework Provisions and Requirements
In this session, participants will discuss and share feedback on the Framework
provisions, with particular focus on a select set of key questions relating to
the proposed requirements, such as occupational health and safety. (Organizers
are in the process of scoping an agenda and discussion questions, to be shared
with registrants prior to the call.)

Languages:

English / French Translation

Hosted by:
Resolve


13th July 2021
16:30 – 17:45 CEST | 10:30 – 11:45 EDT

Implementation and Investment
In this session, participants will discuss and share feedback on Framework
implementation considerations, including design elements of a fund to direct
investments to artisanal cobalt producers to support progressive improvement.
Facilitated discussion will respond to priorities, as well as design and
governance considerations the fund should reflect. 

Languages:

English / French Translation

Hosted by:
Resolve




FREQUENTLY ASKED QUESTIONS (FAQS)

Why is an Artisanal and Small-Scale Mining (ASM) Cobalt Framework needed?
Aren’t there already standards in place?
What is the purpose of the ASM Cobalt Framework?

There are existing and applicable laws, standards, and resources for
stakeholders in the Democratic Republic of the Congo (DRC) and in the cobalt
sector globally. A few examples include:

• The Government of the Democratic Republic of the Congo (DRC) has a robust set
of laws and regulations applicable to the artisanal mining sector, including its
Certified Trading Chains (CTC) standards applicable at the mine site level.

• The newly established Enterprise Générale du Cobalt (EGC) has launched its EGC
Standard that defines the minimum requirements for it, and its commercial
partners, to purchase ASM cobalt.

• At the refiner level, both the Responsible Minerals Initiative and the
Responsible Cobalt Initiative have developed supply chain due diligence
standards applicable to artisanal cobalt.

• In terms of guidance, the Organization for Economic Co-operation and
Development (OECD) developed an FAQ on Responsible Supply Chains in Artisanal
and Small-Scale Mining as a resource for stakeholders.

Despite the above, there was a gap identified by midstream and downstream
companies in terms of a set of expectations for responsible sourcing at the ASM
level for cobalt that was mutually recognized and accepted across the global
supply chain (including regulators, traders, mining cooperatives, refiners,
downstream buyers, consumers, etc.). Without this mutually accepted set of
expectations, differing expectations developed among supply chain actors,
meaning that cobalt could be rejected at any point in the global supply chain
based on its inability to meet a specific actor’s production requirements. These
varied expectations, and subsequent lack of assurance to specific expectations,
have also resulted in the avoidance of purchasing ASM cobalt as a risk
mitigation strategy by several actors.

The ASM Cobalt Framework (“Framework”) is intended to recognize, align with, and
build off existing national laws, regulations, standards, and resources to serve
as a uniform set of expectations that can be consulted on, improved, and
ultimately accepted and recognized by all global stakeholders. The Framework
addresses the current realities and limitations of ASM miners by establishing a
set of practical, progressive expectations that are paired with investment from
downstream actors and other supply chain stakeholders to ensure men and women
working in the mining sector have the resources to address their needs and
continuously improve production practices.

The Framework was initially developed as a draft using input from leading ASM
standards, codes, and resources (including the CRAFT code, the Fairtrade and
Fairmined standards and the OECD Due Diligence Guidance for Responsible Supply
Chains of Minerals from Conflict-Affected and High-Risk Areas). It has been
reviewed and benchmarked against both the CTC and EGC Standard and can best be
described as a “ladder to CTC and EGC expectations”, in that expectations are
aligned, but the Framework includes several precursor milestones to be met along
the continuous improvement pathway.

Why was there a consultation on the draft ASM Cobalt Framework?

The organizations supporting the development of the ASM Cobalt Framework,
including the Global Battery Alliance’s Cobalt Action Partnership and the
Responsible Cobalt Initiative, believe that stakeholder engagement is essential
for the Framework to achieve its objectives.

Indeed, the process is as important as the outcome. If stakeholders do not feel
informed or adequately engaged, and/or if the process is perceived to be imposed
by the international community and not co-designed and co-owned with Congolese
actors and the relevant Congolese authorities, it will not succeed. If the ASM
Cobalt Framework is to be mutually accepted and recognized by global
stakeholders, then all affected stakeholders must be engaged, and those most
critical to the supply chain must be recognized (including the miners and mining
communities). The process of consultation is critical to setting the ASM Cobalt
Framework up for success.

The consultation has been designed purposefully and with recognition that
stakeholders do not have equal power or voice, and that vast cultural
differences exist. The consultation aims to provide safe and open spaces for
women and men to interpret and understand the ASM Cobalt Framework and its
intent, so that they can freely express their views and be heard. The process of
consultation is intended to enhance trust within groups of stakeholders and
between stakeholders. It is also intended to lay the groundwork for support and
buy-in of all the key stakeholders. The consultation has been generating
discussion and gathering feedback from a wide variety of stakeholders –
throughout the supply chain but also from those who directly represent or work
with artisanal mining communities.

What are the expected outcomes of this consultation process?

The consultation is intended to share the draft Framework, promote engagement
and discussion of its key tenets, solicit feedback, and open a dialogue among
global and national stakeholders on each others’ expectations. It will identify
points of convergence, as well as points where views diverge, that will be
instrumental in shaping the Framework going forward. As mentioned above,
existing standards have been benchmarked and integrated into the Framework
already. However, these standards are often very difficult for upstream
artisanal supply chain actors to realize. The consultation can thus be used to
identify how and where to leverage cooperation and targeted investments to
enable more upstream supply chain actors to realize improved conditions over
time.

Meaningfully engaging with all relevant stakeholders in the ASM cobalt sector
involves taking the time to allow for feedback, to listen, to be open to change,
and to have the flexibility to let the consultation outcomes drive next steps.
It is important to establish building blocks for recognition and acceptance of
mutual expectations, and partnership for lasting change. The consultation is not
designed to be a negotiation of the text, it is not intended to solicit “yes” or
“no” approvals on a set of expectations, nor is it intended to validate the
commercial interests of one stakeholder group. Instead, it aims to create a
space where all perspectives can be shared in order to build consensus to the
greatest possible extent.

The outcome of the consultation will inform the next version of the Framework,
next steps for the Framework development process, and overarching strategy for
the Global Battery Alliance’s Cobalt Action Partnership (GBA CAP).

Does the DRC Government support the work of the CAP and the ASM Cobalt
Framework?

The Global Battery Alliance’s Cobalt Action Partnership recognizes and respects
the authority and sovereignty of the Government of the DRC and engages with it
regularly as part of the Framework’s development. The CAP governing body, the
CAP Steering Committee, includes a seat designated for the DRC Minister of Mines
as of December 2020. The seat transitioned in May 2021 following the appointment
of the new Minister. While the new Minister of Mines and ARECOMs are
transitioning and embarking on their next steps, CAP continues to engage with
DRC government representatives and learn about new priorities in this sector.

To date, dialogue between the CAP Steering Committee and representatives from
the DRC Government has confirmed:

• The Government appreciates CAP’s ability to serve as a convening and
harmonizing body for the numerous initiatives and private sector actors that are
working in this space. Providing clear, uniform messaging from this large group
of stakeholders interested in working on issues around ASM cobalt will help the
Government in terms of bandwidth, collaboration and messaging.

• The Government sees its role as clearly distinguished from that of EGC. EGC
can set its own standards as a private company, but the Government will still
issue its own requirements.

• The Government sees the Framework as an opportunity to support improvements in
the sector more broadly and is supportive of the consultations and its approach.
The Government will continue to follow the GBA CAP’s developments and
specifically the consultation.

Why is this a Framework and not a Standard?

The word “Framework” replaced the word “standard” based on feedback received
from

stakeholders in mid-2020 when the GBA CAP was initially formed and announced its
intention to develop a set of ASM cobalt expectations. Creating a “standard” was
a cause of concern for many stakeholders, particularly in the DRC, as it was
felt to infer a duplication of existing laws and a mechanism to impose
downstream expectations without recognizing the needs or voices of upstream and
local actors, nor the progress and other efforts that have taken place to date.

In contrast, the use of the term “Framework” implies a structure that builds
upon existing laws and standards and enables the development of partnerships to
achieve progressive levels of improvement. The ASM Cobalt Framework is not
proposing a new set of laws or standards. Instead, it aims to align existing
requirements from a variety of actors into one progressive set of expectations
that can be recognized and accepted by actors across the global supply chain.

The Framework can be used to assess a site’s level of performance. Stakeholders
can measure and support progressive improvements at mine sites using this
Framework, which provides uniform performance metrics. Downstream buyers and
regulators can set expectations for the level of performance that they require,
among the levels outlined in the Framework, which respects the autonomy and
needs of different stakeholder groups. When recommendations are requested for
the level of performance to require, the GBA CAP will defer to OECD guidance and
best practice that promotes the sustainable inclusion of responsible ASM
projects into global supply chains.

How will conflicts and differing opinions be addressed?

Respect for all voices is key to the consultation process and beyond. The
position of the Government of the DRC will be recognized and respected and the
different viewpoints across stakeholder groups will be considered and valued.

The GBA CAP intends to integrate feedback from stakeholders into the Framework
where there is clear consensus first. Points of divergence will be outlined in a
public report summarizing the consultation process, and the intention is to
discuss these points further at a multi-stakeholder synthesis workshop to be
held later in 2021. To note, the precise plans for the steps following the
consultation will be informed by the consultation report and will be shared
following publication and review of the report in September.

The GBA CAP is aware that there may not be 100% agreement across a diverse,
global group of stakeholders, but it is committed to bring together different
voices in informed dialogues to facilitate consensus to the extent that it is
possible. When consensus cannot be reached, the GBA CAP defers to its Steering
Committee, which is made up of representative from the private sector, civil
society, and government, including the DRC government.


THIS CONSULTATION IS SUPPORTED BY:

Framework Technical Committee

Address resolution of technical feedback and comments as they are received.

• The Responsible Cobalt Initiative (RCI)

• The Responsible Minerals Initiative (RMI) as the Project Management Office
(PMO) for CAP

• Fair Cobalt Alliance (FCA)

CAP Multi-Stakeholder Steering Committee

Strategic direction and oversight of the Cobalt Action Partnership, including
its goals and objectives and annual workplan.

Approval and oversight of the annual operating budget and annual report.

• The Democratic Republic of the Congo Ministry of Mines (DRC Government)

• Natural Resources Canada (Canadian Government)

• Glencore

• Eurasian Resources Group (ERG)

• Good Shepherd International Foundation

• Pact

CAP Steering Committee Observers

• Organization for Economic Cooperation and Development (OECD)

• Deutsche Gesellschaft für Internationale Zusammenarbeit GmbH (GIZ)

• United States of America Government, DRC Embassy

• International Labor Organization (ILO)

• International Committee of the Red Cross (ICRC) / Geneva Centre for Security
Sector Governance (DCAF)

CAP Implementing Partners

Act as a focal point for CAP in DRC and coordinate local activities/meetings.

Provide opportunities for sharing, learning, and leveraging collaboration to
foster best practices throughout the cobalt value chain.

Contributing to DRC local engagement strategy and activities, and independently
facilitating research collaboration, integration of knowledge and learning in
the CAP process, support for fundraising.

Identify and scale ASM standard adoption and best practices.

• United Nations Children’s Emergency Fund (UNICEF)

• The Responsible Minerals Initiative (Project Management Office / PMO)

• International Institute for Environment and Development (iied)

• Fair Cobalt Alliance (FCA)