Origin determination and traceability - SSEF · of a historic pearl. Documented since mid 19th century, originally belonging to Ana María de Sevilla (1828-1861); probably fished

| The gemstone market: from traceability to the responsibility of its actors | May 2019 | PAGE 1

Origin determination and traceabi l i ty :

| An overview for gemstones

Presentation by

PD Dr. Michael S. Krzemnicki, Director Swiss Gemmological Institute SSEF


| TERMS AND THEIR SIGNIFICANCEThe terms Origin and Origin Determination cover many aspects:

- Formation (natural vs synthetic or cultured)- Geological- Geographical- Historical- Emotional- Species-related (e.g. CITES)- Political (boycott) / Sustainability / responsible sourcing

Ruby mining near Bawpadan in Mogok

Bagan, Myanmar © P. Boegli, Flickr.com


| TERMS AND THEIR SIGNIFICANCETraceability:

- Tracing (from market to origin)- Tracking (from origin to market)

Challenges, especially for coloured gemstones:- Mostly informal artisanal mining- Mostly small short-lived deposits- Quality main criteria over origin- Stock management- Gems are not a commodity

(huge amount of historically mined gems)- Overlapping analytical data for gems

from different origins

mined 2008

mined 1989?

mined 1997?

1989 + 1997 + 2008 + ?

Tsavorite garnet from Kenya & Tanzania. For sale in India.

Photos © L. Cartier, SSEF


| GEMMOLOGICAL LABORATORY

A gemmological laboratory analyses loose and mounted gems with scientific methods and issues reports giving expert opinions to answer the following questions:

Identification: What gemstone ?

Authenticity: natural formation or synthetic production ?

Treatment: treated or not, what kind of treatment ?

Origin: which country/deposit ? (scientifically only possible for certain coloured gemstones)

Quality: international standardised grading (commonly only for natural diamonds)


| ORIGIN DETERMINATIONA multi-step scientific deduction process:

- Inclusion features- Analysed physical and structural properties- Trace element composition- In certain cases radiometric age dating

First level Deduction of the geological setting (e.g. marble, amphibolite rock, basaltic rock) in which the gemstone has formed.

Second levelBased on this, deduction of the best fitting geographic gem producing country/area.


| ORIGIN DETERMINATIONFinally, a geographic origin determination is always an expert opinion, and as such different labs may also come to different results, very similar to fields such as paintings, or antiquities.

But still it is an independent assessment and may be crucial to support or exclude origin claims made in documents or by a client.


| ORIGIN DETERMINATIONMinerals and Gemstones mostly form in areas where

large-scale geological processes shaped the surface of the Earth.


The collision of the Indian plate with the Eurasian continental plate has produced some of the most important sources for coloured gems, such as the sapphires from Kashmir and the sapphires and rubies from Burma, and many more.

| ORIGIN DETERMINATION


1880 sapphire deposit discovered in the Zanskar mountain range in Kashmir (India) 1882-1887 main mining activity1888-today only sporadic activity, but no evident production of gem-quality material

| KASHMIR SAPPHIRE

Zanskar © Corto Maltese, Flickr.com


| KASHMIR SAPPHIRE

The Richelieu sapphires,sold at Sotheby‘s Geneva

for US$ 8.35 mio.


| KASHMIR SAPPHIRE Pargasite (amphibole) in sapphire from Kashmir


| KASHMIR SAPPHIRE

Raman spectra of zircon inclusions

‚Kashmir-like‘ sapphires of excellent quality from new deposit near Ambatondrazaka, Madagascar.

Kashmir

AmbatondrazakaMadagascar

metamict zircon inclusions

non-metamict zircon inclusions


| KASHMIR SAPPHIRE

Trace element analyses using laser ablation ICP TOF MS


| REAL CASE IN THE SSEF LABORATORYNatural vs Synthetic OriginSeparation of ruby of natural origin (formation by geological process) from ruby of synthetic origin (produced in a factory, e.g. in Switzerland).

Natural ruby of 22.04 ct from Mozambique (named the “Rhino Ruby”)ca. 500 million years old

Synthetic ruby of 6.54 ctProbably 1-30 years old !


| REAL CASE IN THE SSEF LABORATORYHistoric ProvenanceDocumenting scientifically gemstones of historic or iconic significance.

Sapphire of Catherine the Great (331 ct), Empress of the Russian Empire from 1762 to her death in 1796.

Later part of the Harry Winston ‘Court of Jewels’collection (see Harry Winston, the ultimate Jewelerby Krashes and Winston, 1984, page 27). 45 · FACETTE 2019

SSEF REPORTS

SSEF GEMTRACKTM DOCUMENT

ROUGH RUBYTesting by SSEF

TRACKING RECORD

CUT RUBYTesting by SSEF (Report No. XXXXX )

Date of Testing: 5 July 2018

Weight: 3.169 ct

Measurements: 10.20 x 7.60 x 6.10 mm

Date of Testing: 28 August 2018

Weight: 1.525 ct


1Based on the provided docu-mentation, the rough ruby (3.169

ct) described above was mined and recovered in Mozambique and sold at Gemfields auction in Singapore on the 9th of June 2018.

2After the auction, the rough ruby was submitted to SSEF and

meticulously analysed and charac-terised on the 5th of July 2018. The stone was then sent for cutting.

3After cutting, the ruby (1.525 ct) was resubmitted to SSEF and

extensively analysed on the 28th of August 2018.

Based on the consistency of the analysed properties and internal features of the described rough and cut ruby, it is the opinion of the SSEF that the ruby of 1.525 ct described in SSEF Gemstone Report No. XXXXX was cut from the 3.169 ct rough ruby, tested by SSEF before cutting.

Disclaimer: SSEF makes no warranty for the provideddocumentation and issues this GemTrackTM documentbased on provided information and within the limits ofgemmological characterization of gemstones. Measurements and photos are approximate.

Mandatory document verification: www.myssef.ch

Aeschengraben 26 CH-4051 Basel Switzerland - Tel : +41 61 262 06 40 - Fax : +41 61 262 06 41 - [email protected] - www.ssef.ch

r Specimen of GemTrack™ document issued by SSEF to document gemmologically the history of a gemstone.

Gemstone Report No. 103191

Weight: 331.049 ct Shape & cut: oval, modified brilliant / step cut Measurements: 45.98 x 33.75 x 21.64 mm Colour: blue of medium strong saturation Identification: S A P P H I R E (variety of natural corundum) Comments: The analysed properties confirm the authenticity of this transparent sapphire. No indications of heating. Origin: Ceylon (Sri Lanka)

Important Note: The conclusions on this Gemstone Report reflect our findings at the time it is issued. A gemstone could be modified and/or enhanced at any time. Therefore, the SSEF can at any time reassess if a stone is in accordance with the Gemstone Report. Only the report with the valid original signatures, embossed stamp and Proof TagTM label affixed on to the surface of the laminated report is a valid document. PDF scans and copies of a Gemstone Report are not legally binding. See terms and conditions on reverse side and www.ssef.ch/terms-conditions. © This Gemstone Report is copyright of SSEF.

SWISS GEMMOLOGICAL INSTITUTE – SSEF Report authentication (log on to www.myssef.ch)

Basel, 3 October 2018 dh

If you can read this text, the present Gemstone Report is no longer valid. Please contact SSEF immediately. Email: [email protected]

S. Hänsel, MSc, FGA

magnification 1.0x

Dr. M. S. Krzemnicki, FGA

45 · FACETTE 2019

SSEF REPORTS



TRACKING RECORD



Weight: 3.169 ct



Weight: 1.525 ct














| REAL CASE IN THE SSEF LABORATORYHistoric ProvenanceSupporting evidence by using radiocarbon age dating of a historic pearl.

Documented since mid 19th century, originally belonging to Ana María de Sevilla (1828-1861); probably fished during Hernán Cortéz’ conquest of the Aztec empire in the 16th century.

Our radiocarbon age dating result (16th – 17th century) perfectly matches the historic provenance of this pearl.

at auction this May in Geneva Christie’s Magnificent Jewels Lot 264

THE ANA MARÍA PEARL

NATURAL PEARL, EMERALD AND DIAMOND BROOCH-WATCH Semi-baroque drop-shaped natural pearl of 30.24 carats, carved emerald, vari-cut

diamonds, mechanical movement, brooch-watch 1960s, 7.1 cm, detachable pearl and diamond pendant 4.2 cm, movement signed Audemar Piguet

Provenance Ana María de Sevilla y Villanueva, XIV Marquise of Camarasa (1828-1861) upon the marriage of Jacobo Gayosode los Cobos y Tellez-Girón (1816-1871) Francisca de Borja Gayosi de los Cobos, XV Marquise of Camarasa (1854-1926) Maria Josefa Fernández de los Hensrosa y Gayosso de los Cobos, XIII Marquise of Cilleruelo (1893-1986) upon the marriage of Don Pablo Martinez Del Rio y Vinent (1893-1983) Thence by descent to the present owner

In Spain, close to Santiago de Compostela there is the Palacio de Oca, a 12th century fortress with magnificent gardens. Inside, hanging on the entrance wall, you can find a Portrait of Ana María de Sevilla y Villanueva, XIV Marquise of Camarasa upon her marriage to Jacobo Gayoso de los Cobos y Tellez-Girón. She is painted wearing a lavish blue dress revealing her shoulders and highlighting a single drop pearl pendant necklace. The Ana María pearl is said to date back to the beginning of 16th century, during the reign of King Charles V of Spain and Isabella of Portugal, and to have been part of the Spanish crown treasures, probably fished during Hernán Cortés’ conquest of the Aztec empire.


Reflectance (%)

UV-Vis reflectance

Ref

lect

ance

(%

)

35

25

45

50

55

60

65

70

75

300 400 500 600 700 800Wavelength (nm)

yellow Pinctada margaritifera“golden” yellow Pinctada maxima| REAL CASE IN THE SSEF LABORATORY

Determining biological speciesby using spectroscopic methods and DNA fingerprinting.

SSEF will soon offer DNA fingerprinting and species identification as a service for pearls, corals, and ivory in collaboration with the IRM University Zurich.

See also https://www.ssef.ch/library/


| REAL CASE IN THE SSEF LABORATORYGeological age dating of gemstone formation possible in specific cases by using tiny, surface-reaching inclusion minerals.

Rutile in sapphire

Titanite in ruby

Zircon in sapphire


| REAL CASE IN THE SSEF LABORATORYGeological age dating May support geographic origin determination, as it connects a gemstone to gem deposit formation and plate tectonics.

21 · FACETTE 2019

v Figure 3: Exceptional Burmese ruby of 12.8 ct from the described Harry Winston necklace. This ruby contains a tiny titanite inclusion at the surface which was used for age dating using the SSEF GemTOF. Photo: M.S. Krzemnicki, SSEF

r Figure 4: Tiny titanite inclusion (0.15 mm small) at the surface of a 12 ct Burmese ruby originally set in the Harry Winston necklace. The small circle (blue arrow) indicates the minute amount of material which was ablated by a focused laser beam (ablation diameter 0.05 mm) using our SSEF GemTOF system. It enabled us not only to calculate the age of this titanite inclusion (approx. 40 million years) but also to determine its complete chemical composition. Photo: H.A.O. Wang, SSEF

Interestingly, one of the largest rubies of this necklace (12.8 ct, Figure 3)

revealed a tiny titanite inclusion exposed to the surface, hence accessible

to our GemTOF laser (Figure 4). By using a laser spot size of 0.05 mm

(less than half the thickness of a human hair) we were able to acquire

not only radioactive pairs of isotopes, but also major-, minor-, and trace-

elements from almost the entire periodic table of elements. This specific

feature of our time-of-flight mass spectrometer of the newest generation

(GemTOF) enabled us not only to calculate the geological age of this

specific titanite inclusion, but also to quantify its full range of trace

elements at the same time.

Based on our analysis, we were able to successfully calculate the

formation age of the titanite inclusion to be approximately 40 million

years (40 Ma 2 Ma). This is in good agreement with the formation

age of rubies in the Mogok area (Myanmar), which formed by complex

geological processes as a consequence of the collision of the Indian plate

with Eurasia during the mid to late Cenozoic period (66 Ma to today).

In addition, we were able to simultaneously analyze with GemTOF a

large number of trace- and ultra-trace elements in this titanite, such as

zirconium, hafnium, tantalum, and rare earth elements, all in accordance

with reference samples from the same area analysed previously by SSEF.

To conclude, age dating of inclusions in gemstones is a rather new and

highly promising method, adding evidence in certain cases for origin

determination. SSEF has dated in the past few months numerous

inclusions (mostly zircon, but also further uranium-bearing minerals

such as the described titanite). These inclusions were mostly found at

the surface of sapphires, rubies and spinel which were either submitted

to us by our clients or which are from our SSEF research collection.

To be able to carry out such cutting-edge analyses on one of the most

important ruby necklaces of historic provenance is a perfect example to

demonstrate the scientific progress that has been made in past years

in gemstone testing, and we are proud to report with this short note the

first ever documented age dating of a titanite inclusion in a gem-quality

ruby. Í Dr. M.S. Krzemnicki & Dr. H.A.O. Wang

SSEF RESEARCH

This ruby of 12 ct from an iconic Harry Winston necklace is approximately 35-40 million years old. The radiometric age dating result is well fitting with the formation of the Himalaya mountain range and the formation of gem deposits in Mogok, Myanmar. See also SSEF Facette 2019 https://www.ssef.ch/ssef-facette/


| REAL CASE IN THE SSEF LABORATORYDocumenting (tracking) the treatment status of a gemstone when tested several times in the laboratory, even when submitted by different clients and without indication that the gemstone was already tested before by SSEF.

cleaned Filled with artificial resin Partly cleaned again

First submission June 2015

Second submission September 2017

Third submission July 2018


| REAL CASE IN THE SSEF LABORATORYDocumenting (tracking) of a gemstone in the labwhen tested several times, even when recut between submissions and without disclosure that the gemstone was already tested before by SSEF.

First submission February 2012

Second submission March 2015

Third submission June 2018

Fourth submission March 2019

10.88 ct sapphire


| TRACKING SERVICE BY SSEF: GEMTRACKTM

New service by SSEF which links a cut stone to a specific rough stone using gemmological techniques.

Given the growing demand for provenance and traceability in our industry, the SSEF provides a truly independent gemmological documentation of any gem on its journey from rough to cut and even into jewellery.



Procedure:

1) Step: Rough stone is tested by SSEF

Stone is cut by client and resubmitted to SSEF

2) Step: Cut stone is compared to data of roughGemTrackTM document added to SSEF Reportdocumenting the journey from rough to cut.

If (new) client sets stone in jewellery

3) Step: Recheck of the mounted stoneGemTrackTM document added to SSEF Report documenting the journey from rough to jewellery.

See also https://www.ssef.ch/gemtrack/45 · FACETTE 2019

SSEF REPORTS



TRACKING RECORD



Weight: 3.169 ct



Weight: 1.525 ct















GemtrackTM can be easily integrated in existing blockchain solutions.

212 THE JOURNAL OF GEMMOLOGY, 36(3), 2018

FEATURE ARTICLE

Blockchain, Chain of Custody and Trace Elements: An Overview of Tracking and Traceability Opportunities in the Gem IndustryLaurent E. Cartier, Saleem H. Ali and Michael S. Krzemnicki

ABSTRACT: Recent developments have brought due diligence, along with tracking and traceability, to the forefront of discussions and requirements in the diamond, coloured stone and pearl industries. This is a result of consumer demands for detailed information on the provenance of gems, banking require-ments aiming to reduce risk, industry and company initiatives seeking to bring greater transparency, and growing government legislation on mineral supply chains. To address this trend, certification mechanisms and technologies (such as blockchain) are being developed to solve inherent traceability challenges. As applied to gems, such standards and associated technology could benefit from the support of existing gemmological approaches (e.g. geographical origin determination) to enhance traceability and transparency measures. Recent initiatives are not just limited to corporate social responsi-bility reporting and due diligence requirements, but they also embrace supply chain management (including quality control and process improvements)—for example, to correctly identify and disclose treated and synthetic materials throughout the jewellery industry—as well as address consumer demand for provenance information. This article provides an overview of current trends and developments in the tracking and traceability of gems, along with an explanation of the terms used in this context.

Traceability and transparency—including tracking (from mine to market) and tracing (from market to mine)—of coloured stones, diamonds and pearls is an increasingly

important topic in the industry, as shown by recent research and reports (Archuleta, 2016; Walker, 2017; CIBJO, 2018; Human Rights Watch, 2018). The complex and fragmented nature of the global gem industry means that little information is typically available about these supply chains and how specific gem materials are mined, manufactured and sold. Traceability is one way to provide more transparency, and it is argued that by increasing transparency, supply chain issues can be better

mapped and understood, ultimately helping to improve the environmental and social impact of a supply chain (Mol, 2015). Consumers are increasingly interested in knowing where and how the materials they consume are extracted and manufactured (Nash et al., 2016; De Angelis et al., 2017; see also Figure 1). Media and non-governmental organisations are placing the gem industry under increased scrutiny regarding the origin and sustainability footprint of various stones (Cross et al., 2010; IndustriALL et al., 2013; Global Witness, 2015, 2016; RESP, 2016). At the same time, some companies want to be proactive so as to mitigate risks and better understand their own supply chains and potential

The Journal of Gemmology, 36 (3), 2018, pp. 212–227, http://doi.org/10.15506/JoG.2018.36.3.212© 2018 The Gemmological Association of Great Britain

See also: https://www.ssef.ch/library/

THE JOURNAL OF GEMMOLOGY, 36(3), 2018 221

GEM TRACEABILITY

apply to all minerals (OECD, 2016). Lombe et al. (2015, p. 15) in turn outlined due diligence and chain of custody in the following terms:

Firstly, social and environmental risks are typically a product of an operator’s behavior or environ-ment, so knowing who has handled the material and where is an integral part of risk assessment and management. Secondly, tracking and tracea-bility provide evidence to a company or auditor that a claim being made about a mineral (e.g. country of origin, sustainability dimensions, conflict free, etc.) is in fact true.

Traceability concerns and solutions are, thus, a natural, complementary extension to due diligence and chain of custody, depending on the context.

Blockchain Revolution: How Can It Be Applied to Gems?Blockchain is a digitally distributed ledger technology that can support chain of custody through a system that makes documentation tamper-proof and, potentially, provides new opportunities for traceability in the highly complex and fragmented sectors of diamonds, coloured stones and pearls (e.g. Figure 4). Data added to the blockchain (e.g. by mobile phone, tablet or computer) at each recorded transaction step are verified, ownership

is attributed, and the information is time stamped, encrypted, and stored permanently in a distributed and decentralised manner, providing an immutable record that is formed of a single, yet shared, source of informa-tion about a gem’s journey from source to end consumer. As such, blockchain can be used to document the origin and path of a gem from mine to market, as well as verify ownership (and potentially possession, e.g. when a gem is out on memo). Blockchain technology has particularly grabbed the attention of the art world as a way to authen-ticate artwork back to its artist, and to record ownership and authenticity of artwork along a permanent and potentially anonymised chain of custody (O’Neill, 2018).

In blockchain, there are four types of ledgers: tradi-tional (centralised), permissioned private, permissioned public and distributed permissionless public (Jeppsson and Olsson, 2017). A permissioned blockchain is a shared database that requires users to obtain permission before reading or writing to the chain. In permissionless blockchains, anyone can join. The rules in a blockchain are defined by the users, who can be either a private consortium (e.g. TrustChain) or public users. These rules are enforced as ‘smart contracts’ by computer software. Any computer that connects to the blockchain is called a node. The energy consumption of blockchain networks (documented to be very high in public ones such as

Figure 4: This generalised example of a blockchain serves to illustrate how information can be documented on a single gem’s journey from mining to cutting and onward to retail and eventually the end consumer. After the stone is mined, the trade and transfer of ownership are validated at each step by both parties involved and recorded immutably to the blockchain. Illustration by L. E. Cartier.

BLOCKCHAIN

MINING CUTTING RETAIL CONSUMER

STEP 1: An individual rough stone is added to the blockchain, along with supporting documentation (miner, date, location, photos, weight, measure-ments, etc.). A block is created on the blockchain and the stone obtains a unique ID number.

STEP 2: A gem cutter purchases this rough stone. New data characterising the now cut and polished gem can be added to the blockchain.

STEP 3: A jeweller buys the cut stone and mounts it in a ring for retail sale. New data on the manufacturing of the ring can be added to the blockchain.

STEP 4: A consumer buys the ring. Documentation including a unique ID to visualise certain elements of the history of the gem on a dedicated platform may be provided to the consumer. The identity of the consumer may also be recorded on the blockchain if desired (useful for insurance claims as proof of ownership).


| CONCLUSIONS

- Origin determination is a scientific deduction process to assess the geographic origin (commonly country/mining area) of a cut gemstone.

- Origin determination from a laboratory provides an independent assessment and may support or exclude origin claims made in documents or by a client.

- Tracing and tracking of gemstones submitted several times to the laboratory is possible.

- SSEF GemTrackTM is a tracking service from rough to cut (and mounted) gems, similar to services offered by other laboratories.

- Integration in blockchain solutions is possible in principle whenever a gemstone is tested in a gemmological laboratory.


| THANK YOU FOR YOUR ATTENTION

www.ssef.ch/ssef-facette

Documents

Origin determination and traceability - SSEF · of a historic pearl. Documented since mid 19th century, originally belonging to Ana María de Sevilla (1828-1861); probably fished