The war continued into the regime  of Joseph Kabila, and it is estimated that by 2004, about 4 million people  had died as a result of the conflict. For example, it is  very common for small-scale traders and porters to be prefinanced by  trading houses. Tin, Tantalum, and Tungsten Transit DRC’s Neighboring Countries, Are Processed Mostly in Asia, and Are Used in Technology Products

From trading houses in eastern DRC, tin, tantalum, and tungsten are  transported by road, boat, or airplane to neighboring countries, such as  Rwanda, Uganda, and Burundi. The minerals are used in the production of  technology products, such as mobile telephones and laptops. Most DRC-Origin Gold Is Smuggled Out of the Country and Used by the Jewelry Industry

DRC-origin gold follows more informal and clandestine supply chains out  of the country than tin, tantalum, and tungsten, according to an NGO  report. Illegal Armed Groups and Parts of the Congolese National Military Commit Human Rights Abuses and Are Involved in the Minerals Trade

		Illegal Armed Groups and Some Congolese National Military Units Commit Serious Human Rights Abuses in Eastern DRC

According to UN, U.S., and foreign officials and NGO representatives,  illegal armed groups and some Congolese national military units are  consistently and directly involved in human rights abuses against the  civilian population in eastern DRC. According to a UN official in the DRC, based on information  gathered in eastern DRC, approximately 50 percent of the reported human  rights violations are committed by Congolese national army units. Members of the International Community Are Working to Help Control the Minerals Trade, but the Illicit Trade Continues and Many Efforts Are in Preliminary or Proposal Stage

			International Community Has Made Efforts to Help Control the Minerals Trade through UN Activities and the Contact Group on the Great Lakes Region

With U.S. support, the UN has made efforts to help monitor, regulate, and  control the minerals trade by imposing UN Security Council sanctions,  deploying UN Group of Experts’ teams to eastern DRC, and developing  MONUSCO training centers. Phase 1 has been completed. Lack of Security, Weak Governance, and Lack of Infrastructure Are Significant Challenges That, Unless Addressed, Will Likely Hamper Efforts to Monitor, Regulate, or Control the Minerals Trade

			Lack of Security, Weak Governance, and Lack of Infrastructure Are Significant Challenges

Unless they are effectively addressed, U.S. agency officials, foreign  government officials, and others have identified lack of security, weak  governance, and lack of infrastructure as significant challenges that will  likely hamper efforts to monitor, regulate, or control the minerals trade. The Dodd-Frank Wall Street Reform and Consumer Protection Act  of 2010, which requires the Secretary of State to provide Congress with a  strategy and to produce a map of mineral-rich zones, underscores the  importance of the United States taking further action, in collaboration  with other stakeholders, to help address the trade of DRC conflict  minerals. Recommendations for Executive Action

To respond to the urgent humanitarian crises and reinforce U.S.  commitment to work for peace and security in eastern DRC, in  collaboration with the DRC government and international partners, we  recommend that the Secretary of State, in consultation with the heads of  other relevant U.S. agencies, take the following action:    Provide Congress and other international stakeholders with concrete,  actionable steps that the United States could take to help monitor,  regulate, and control the minerals trade in eastern DRC, including steps to  help address the challenges of lack of security, weak governance, and lack  of infrastructure in eastern DRC. Appendix I: Objectives, Scope, and Methodology

To examine the minerals trade in the eastern Democratic Republic of the  Congo (DRC), its connection to human rights violations; and national and  international efforts to monitor, regulate, or control the trade, we assessed  (1) the key minerals mined in eastern DRC and how these minerals are  mined, transported, and processed; (2) the extent to which there are links  between minerals extraction, armed conflicts, and human rights abuses in  eastern DRC; (3) the measures that the DRC, the United States, and the  international community have taken to monitor, regulate, or control the  minerals trade and their effectiveness; and (4) the challenges and  limitations that the DRC, the United States, and the international  community face in monitoring, regulating, or controlling the trade, and  how these challenges are being addressed. To address these objectives, we  reviewed and analyzed various reports, memorandums, and other  documents from relevant U.S. agencies; foreign governments; multilateral  organizations, such as the United Nations (UN); nongovernmental  organizations; and industry organizations.
Why GAO Did This Study

Rich in minerals, the eastern Democratic Republic of the Congo (DRC) has long been the site of one of the world's worst humanitarian crises. Since 1998, an estimated 5 million have died as a result of the conflict. GAO was asked to examine the connection between minerals trade and human rights abuses, and the efforts to help control the trade. This report assesses (1) how the key minerals are mined, transported, and processed; (2) the links between the minerals trade, armed conflicts, and human rights abuses; (3) measures the United States and the international community have taken to control the trade and; (4) challenges faced in controlling the trade. GAO reviewed and analyzed reports, memorandums, and other documents and interviewed officials from the Department of State (State), other United States agencies, the United Nations (UN), and foreign governments as well as representatives from nongovernmental organizations and industry.

What GAO Found

Tin, tantalum, tungsten, and gold are the key minerals mined in eastern DRC. Tin, tantalum, and tungsten follow a similar supply chain; they are mined by hand, sold to small-scale traders, carried by porters, transported by truck or airplane to the border, and sold to trading houses for export. The minerals transit DRC's neighbors, such as Rwanda, and most are processed in Asia and used in technology products, such as mobile telephones. In contrast, according to U.S. officials and others, most gold is smuggled out of the DRC and is ultimately used by the jewelry industry. Illegal armed groups and some Congolese national military units commit human rights abuses and are involved in the minerals trade. A UN official stated that approximately 50 percent of the reported human rights abuses are committed by Congolese army units; many soldiers in these units have committed violations in the past as rebels, are poorly integrated into the Congolese military, and are consistently unpaid. To varying degrees, illegal armed groups and some military units illicitly tax minerals at mines and mineral transport routes, but they also make money illicitly taxing other trades, such as trade in charcoal and timber. The minerals trade is not the root cause but one of many factors perpetuating the conflict. The United States and the international community, particularly the UN, are working to help control the illicit minerals trade, but many efforts are in the preliminary stage. State issued a "white paper" and produced a map of mines and armed groups, but both should be improved. The white paper lacks concrete, actionable steps regarding U.S. contribution to help control the trade, and the map presents data that need updating to enhance its usefulness. Provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Pub. L. No. 111-203) underscore the importance of U.S. agencies taking action to help address the trade. The UN has made efforts to help control the trade by imposing sanctions, deploying expert teams, and developing mineral training centers. Others, such as a global tin industry association and the DRC government, have also made efforts, but these efforts are in the early stage. Significant challenges, which are yet to be addressed, exist to monitoring and controlling the minerals trade, including tracking the mine of origin. For example, many mines are in remote areas, lack road access, and are occupied by armed groups, making it challenging to monitor mine activities. Tracking the origin of minerals will rely on DRC mining officials, but these officials suffer from a lack of skills and from corruption. U.S. and foreign officials and others said that lack of security, weak governance, and lack of infrastructure in eastern DRC are significant challenges that, unless addressed, will likely impede efforts to control the minerals trade. Addressing these challenges requires measures to reform the security sector, improve governance, and invest in infrastructure, but little progress has been made in these areas.

What GAO Recommends

GAO recommends that the Secretary of State, in consultation with relevant agencies, (1) provide concrete, actionable steps to help control the minerals trade, including addressing lack of security, governance, and infrastructure, and (2) work with relevant stakeholders to periodically update information on mines and armed groups. State concurred with GAO's recommendations.