Description
Assess risks in the supply chain (Where red flag review confirms the need for Annex II risk assessment for covered.
- RA-1: Does the facility have a risk assessment process in place?
- RA-2: Was the facility's risk assessment conducted against the following criteria: a) The principles and standards of the supply chain policy referencing OECD Annex II b) National laws of the countries: b.1) where the facility is domiciled or publicly traded (if applicable); b.2) from which the covered minerals originate; and of transport or re-export. c) Legal instruments governing the facility operations and business relations, such as financing agreements, contractor agreements, and supplier agreements d) Other relevant international instruments such as the OECD Guidelines for Multinational Enterprises, international human rights, and humanitarian law.
- RA-3: Did the assessment include all risks listed in Annex II of the OECD Guidance and applicable standard?
- RA-3a: Did any of the assessments identify any actual or potential risks?
- RA-4: Does the facility conduct ongoing risk monitoring for complex supply chains, including supply chains with ASM?
- RA-5: MICA ONLY: Does the facility conduct on-going monitoring, and following any change in the facility's sourcing strategies or supply chain information gathering, does the facility repeat cross-checking against the facility's supply chain standards?