Description
Establish a system of controls and transparency over the covered minerals supply chain.
- SCT-1: Are there systems of internal material control in place and appropriate to the nature, scale and operational context of the facility?
- SCT-1a: Does the facility ensure that all received materials are recorded with relevant details, including the date of receipt, type, quantity (volume or weight), and source, validated through inspection and supplier documentation?
- SCT-1b: New Question - For intermediate materials received from supplying processors, and/or non-secondary products unused for their primary purpose, does the facility collect and retain available information on description of materials including composition, physical form and production date (if available)?
- SCT-1c: New Question - For materials received from downstream companies, does the facility collect and retain available information on description of materials including composition, physical form and production date (if available)?
- SCT-1d: New Question - For legacy receipts, does the Facility have sufficient documentation to describe the type of mineral or material and demonstrate that the covered minerals were received and entered into inventory by the Facility on a verifiable date prior to the date specified in applicable standard?
- SCT-1e: New Question - For assay samples, does the facility have a description of the type of samples and sufficient documentation on the quantity of covered mineral received and a verification that this quantity is less than 0.03% of the total receipts from the same supplier over the same period.
- SCT-2: GOLD AND PRECIOUS METALS ONLY: Does the facility use reasonable and good faith efforts and steps proportional to risk, to determine whether the material of covered mineral is primary, secondary, or grandfathered/legacy stocks? (OECD)
- SCT-3: GOLD AND PRECIOUS METALS ONLY: Does the internal material control system ensure additional details are recorded for each received material, including: a) Form b) Physical description c) Assay d) A unique internal reference number
- SCT-4: GOLD AND PRECIOUS METALS ONLY: Does the facility record and mark all outputs with identifiable information (e.g. by imprinting on products or affixing to packaging in a way that its tampering or removal will be evident) with the following information: a) Name and / or stamp / logo of the refiner b) Year of refining / production c) A unique reference allocated to each output.
- SCT-5: GOLD AND PRECIOUS METALS ONLY: Is there a process to inspect shipments for conformity to the information provided by the supplier on the type of material, weight, and quality? (OECD)
- SCT-6: GOLD AND PRECIOUS METALS ONLY: Is there a process to verify the physical security practices used by the immediate supplier to confirm that shipments have not been tampered with, unsealed, or opened? (OECD)
- SCT-7: GOLD AND PRECIOUS METALS ONLY: Does the facility adopt tamper proof physical security measures as below: a) coordinate and support physical security practices used by other upstream companies; b) promptly report any indications of tampering with shipments; c) unseal and open shipments only by authorized personnel.
- SCT-8: GOLD AND PRECIOUS METALS ONLY: Is there a process to report any inconsistency, with no further action taken until the inconsistency is resolved? (OECD)
- SCT-9: GOLD AND PRECIOUS METALS ONLY: Is there a process to physically segregate and secure any shipments with unresolved consistencies? (OECD)
- SCT-10: For Facility that sources exclusively from their own mine and do not obtain external material inputs: Are there processes in place to identify and prevent the risk of external material entering its operations? If yes, please describe these specific processes in detail?
- SCT-11: Is there a process to reconcile material inputs and outputs over a given period of time, ensuring no unreasonable losses or gains?
- SCT-11a: Are incoming transactions, inventory (including work-in-progress and stocks), and sales appropriately calculated?
- SCT-11b: Are unreasonable losses or gains investigated and documented?
- SCT-12: Is there a process to calculate a mass balance that includes receipts, inventory, losses, and sales quantities?
- SCT-12a: Does the process to calculate a mass balance meet the requirements as below: a) The closing inventory, calculated and declared, must be within an acceptable margin of error. b)Any discrepancies must be investigated and justified in writing. Note: a) For gold and precious metals, investigate and record all discrepancies, ensuring proper justification and documentation, without relying on a fixed acceptance margin. b) For all other minerals, the maximum margin: ±10%.
- SCT-12b: How often is the mass balance calculation conducted?
- SCT-13: Does the facility collect and maintain comprehensive data on the following aspects of the minerals they process: a) Mineral origin b) The type of mining operations (Artisanal and Small-Scale Mining - ASM and/or Large-Scale Mining - LSM) c) The countries through which the minerals have transited in sealed shipping containers. d) The countries through which the minerals have been transported (not in sealed shipping containers), or in which they have been reprocessed, repacked, or handled. e) Whether Large-Scale Mining (LSM) operations purchase covered materials from other sources, including ASM.
- SCT-14: COBALT ONLY: Did the facility identify the point of origin of the primary cobalt material (the location(s) and name (s) of mines where cobalt is extracted either directly or as a by-product?
- SCT-15: COBALT ONLY: For cobalt material received from another refiner, does the Facility identify the point of origin for all cobalt material sourced from the supplying refiner?
- SCT-16: Did the facility maintain reasonable evidence to demonstrate that the material is secondary?
- SCT-17: Does the facility implement a risk-based assessment of the likelihood that raw materials are laundered through secondary channels to conceal its origin?
- SCT-18: COBALT ONLY: Does the facility meet the expectations of system of controls for each transaction of secondary material according to the requirements of the standard?
- SCT-19: Does the facility aim to avoid cash transactions where possible, and if unavoidable, are they supported by verifiable evidence?
- SCT-20: Where appropriate, does the facility support the implementation of the principles and criteria of the Extractive Industry Transparency Initiative (EITI)?
- SCT-20a: If the facility is located in or sourcing from an EITI-implementing country, does the facility implement the EITI criteria?
- SCT-21: GOLD AND PRECIOUS METALS ONLY: Does the facility fully and transparently cooperate with law enforcement agencies regarding covered mineral transactions, and provide customs officials with access to complete information on all international shipments? (OECD)
- SCT-22: Is there a process to identify all pinch-points (smelters, refiners, and/or processors) in the supply chain?
- SCT-23: Are all supplying pinch-points (smelters, refiners, and/or processors) assessed under the OECD Step 4? If applicable, provide the following details: a) Name of the supplying pinch-point b) Assessment scheme used b.1) RMAP or equivalent b.2) If not RMAP or equivalent, specify the type of assessment (another third-party assurance scheme or a second-party assessment).
- SCT-23a: New Question - If any supplying pinch-point was not in conformance after undergone an independent third-party assessment under the Responsible Minerals Assurance Process or equivalent Standard and Assessment, does the Facility proceed with the following processes: a). Gather the additional information and maintain records of the mineral or material inputs received from the supplying pinch-points, along with information needed for red flag review. b). Gather further enhanced due diligence information if the inputs are known or suspected to be from a Conflict-Affected and High-Risk Area (CAHRA). c). If specific inputs cannot be identified by the supplying pinch-point, validate all inputs of the supplying pinch-point.
- SCT-24: New Question - GOLD AND PRECIOUS METALS ONLY: For any pinch-point that cannot be demonstrated to be conformant with RMAP or equivalent, does the Facility proceed with the following processes: a) Gather mineral declarations b) Collect origin and operation details for primary material c) Determine CAHRA origins for primary material d) Confirm and review AML-CFT policies e) Conduct risk-based verification visits to supplying pinch-points f) Apply the full requirements for primary or secondary material to address inconsistencies and red flags
- SCT-25: Is there a process in place to conduct Know-Your-Counterparty (KYC) on immediate suppliers before entering into a business relationship and throughout the business relationship?
- SCT-26: Does the KYC process for immediate suppliers include the following elements: a) Identity verification (name, addresses, and type of business) b) Type of business relationship c) Legality of business operations d) Ownership (including beneficial ownership) identification of the supplying counterparty and corporate structure e) Verification of immediate suppliers and their owners (including beneficial owners) against relevant government sanction lists
- SCT-27: Is the KYC process consistently implemented?
- SCT-28: New Question - Does the facility collect and retain available information regarding immediate suppliers, and any known actors further upstream in the supply chain, on the following: a) Aggregated lists of countries in which the supplier has shareholder or the supplier's company interests. b) Aggregated lists of countries of origin, transport, and transit of minerals from which suppliers have sourced over the last 12 months.
- SCT-29: Does the facility have a consistently implemented process in place to collect, maintain, and securely store all relevant records for a minimum of 5 years? Please describe the implementation measures taken to ensure consistent record-keeping, including regular reviews, audits, and any digital or physical storage systems used.