Description
Red Flag Review and Risk Assessment Tailoring.
- RFT-1: Is there a process to determine whether there are any inconsistencies or discrepancies related to the material, origin and/or transportation documentation?
- RFT-1a: Were there any discrepancies related to the material, origin, and/or transportation documentation during the assessment period?
- RFT-1c: What is the facility's process to identify and address potential inconsistencies or discrepancies related to the material, origin and/or transportation documentation?
- RFT-2: Does the facility have a process to assess the plausibility of material coming from the declared sources and undertake reasonable efforts to understand reserves, production and export statistics for the countries and/or regional areas the facility sources material from?
- RFT-2a: Does the facility have a process to investigate and address any discrepancies compared to the potential for production from that area, supplier or type of mineral extraction?
- RFT-3: GOLD AND PRECIOUS METALS ONLY: Does the facility consider location-based red flag for materials claimed to originate from secondary or mixed sources and have been refined in a country where the material from conflict-affected and high-risk areas is known or reasonable suspected to transit? (OECD)
- RFT-4: Is there a process to determine whether there are any inconsistencies or discrepancies related to KYC and/or other information of the supplier?
- RFT-4a: Were there any inconsistencies or discrepancies related to KYC and/or other information of the supplier observed?
- RFT-5: If upstream producers purchase covered mineral from other production sites (including ASM), does the facility have a process to determine whether this may trigger any red flags?
- RFT-6: MICA ONLY: Does the facility consider location-based red flag for the mica originates from or has been transported via a country where no regulations on responsible mining, child labor, or treatment of workers exist, or are not enforced.
- RFT-7: New Question - MICA ONLY: Does the facility consider location-based red flag for the mica claimed to originate from a country in which mica from a country where no regulations on responsible mining, child labor, or treatment of workers exist, or are not enforced are known to transit.
- RFT-8: MICA ONLY: Does the facility consider supplier red flag for mica suppliers are known to have mines or operations in, or source from, a country where no regulations on responsible mining, child labor, or treatment of workers exist, or are not enforced.
- RFT-9: Does the facility, as part of the red flag review, record the determination of receipts of byproducts and their associated risks from the point of separation?
- RFT-10: Does the facility, as part of the red flag review, record the following? a) Receipts of materials from supplying processors, traders, mine owners, or individual/groups of collectors and any identified inconsistencies or discrepancies in the documentation b) Evidence of third-party assessments of other processors (as applicable) c) Confirmation of whether covered minerals processed by those suppliers originate from CAHRAs. d) Information and actions equivalent to meeting the full relevant criteria.
- RFT-11: MICA ONLY: Does the Facility, as part of the red flag review, record the following? a) The determination of receipts of materials from traders, mine owners, or individual/groups of collectors. b) Evidence of third-party assessments of the sites (as applicable) c) Confirmation of whether mica processed by those suppliers originates from a country lacking regulations on responsible mining, child labor, or worker treatment. d) Information and actions equivalent to meeting the full relevant criteria.
- RFT-12: Does the facility consider red flags when there are anomalies or unusual circumstances which give rise to a reasonable suspicion that the material may contribute to conflict or serious abuses associated with the extraction, transport or trade of material?
- RFT-13: New Question - Did the facility appropriately determine the need for enhanced due diligence and tailor risk assessment approach based on the red flag review results?
- RFT-14: Does the facility have a process to ensure red flag review results are reported to senior management?
- RFT-15: Can you confirm if any red flags, as defined by Annex II of the OECD Due Diligence Guidance and/or the applicable standard, were triggered during the assessment period? If yes, please complete the red flags section in the overview tab.
- RFT-16: Does the facility have a process to identify and assess risks?
- RFT-17: Is there a process to integrate feedback from the Grievance Mechanism into the risk identification process?
- RFT-18: Does the process to identify and assess risks include consideration of all risks noted in the OECD Guidance Annex II Model Policy and applicable standard?
- RFT-19: GOLD AND PRECIOUS METALS ONLY: For secondary materials sourced from a location outside of a CAHRA, is additional due diligence, proportional to the value of the transaction, carried out by the facility for transactions beyond the threshold of 15,000 USD or the local legal threshold (whichever is lower) per cash transaction? (OECD)