Description
Specific Assessment of Due Diligence Practices and Qualitative Conditions.
- DDP-1: COBALT ONLY: Is the treatment unit/crude refiner conformant with the RMI's Responsible Minerals Assurance Process (RMAP) Cobalt Assessment, or equivalent?
- DDP-1a: COBALT ONLY: Has the facility conducted an on-the-ground assessment for each treatment unit/crude refiner that is not conformant with RMI's RMAP Cobalt Assessment, or equivalent? If Yes, did the assessment check below: a) The treatment unit carries out due diligence in accordance with the OECD Guidance, including the specific requirements defined in the standard and its Appendix I? b) The treatment unit’s due diligence system includes all risks defined in the Chinese Guidelines: Annex Model Supply Chain Policy or OECD Guidance Annex II Model Policy as well as any additional risks included in Table 1 of the standard. c) The treatment unit has a strong management system in place to manage risks specifically related to worst forms of child labor. d) The treatment unit's management system is aligned with the OECD Practical actions for companies to identify and address the worst forms of child labour in mineral supply chains. e) The treatment unit maintains all the data points required for the system of controls and transparency as defined in the standard and Section B. of the Appendix, covering all its material suppliers and sources, including: e.1) The name and location of the mine of origin for mined material, with the greatest possible specificity e.2) Each location where mined material is consolidated, blended, crushed, milled, smelted and/or refined e.3) The method of extraction (defined as either artisanal or mechanized mining) e.4) The date the mineral is extracted, processed, concentrated, smelted and/or refined e.5) The mineral weight e.6) The assay results indicating the metal grade. f) The treatment unit made all data points of the system of controls and transparency for the material supplied available to the Facility. g) The treatment unit implements internal material control system that, at a minimum, meet the requirements of Section V.A. System of Controls and Transparency, Internal Material Controls, of the standard, including: g.1) Each individual transaction of relevant material received is identified and recorded g.2) The treatment unit’s internal material control system ensures all material received is inspected to confirm the type, weight, and source of the material g.3) The treatment unit demonstrates the ability to reconcile material inputs and outputs over a given period of time. h) The level of concentration declared for the material input and output is plausible. i) Estimated losses in the mass balance calculation are reasonable.
- DDP-1b: COBALT ONLY: Were the assessments of the treatment units independently verified? Please describe if: a) They were conducted by an independent third party, and/or b) They were conducted by the facility and included in the scope of the facility’s assessment against the standard.
- DDP-1c: COBALT ONLY: If the assessment was conducted by the facility, did the auditor conduct an onsite verification of the facility’s on-the-ground risk assessment at all or a sample of the treatment units?
- DDP-1d: COBALT ONLY: Did the assessment meet the requirements of the standard and was the assessment appropriate for size, complexity and risk of the supply chain?
- DDP-1e: COBALT ONLY: Did the assessor or assessment team meet the minimum requirements?
- DDP-2: COBALT ONLY: Did the treatment unit appropriately exercise due diligence over each Mechanized Mining Operation in the supply chain where red flags or warning signs have been identified?
- DDP-2a: COBALT ONLY: Does the Mechanized Mining Operation have an independent third party certification that addresses the areas of this standard or has otherwise an independent audit confirming the third party assessment?
- DDP-2b: COBALT ONLY: If neither the treatment unit nor an independent third party certification are available, did the facility conduct an on-the-ground assessment of each Mechanized Mining Operation in the supply chain where red flags or warning signs have been identified?
- DDP-3: COBALT ONLY: For all on-the-ground assessments of the Mechanized Mining Operations (regardless of assessor), did the assessment meet the requirements of the standard for due diligence?
- DDP-3a: COBALT ONLY: The mechanized mining operation has designed and effectively implements a due diligence system to identify, assess and appropriately mitigate risks that are conformant with the Chinese Guidelines or the OECD Guidance.
- DDP-3b: COBALT ONLY: The due diligence system covers all risks defined in the Chinese Guidelines or OECD Guidance.
- DDP-4: COBALT ONLY: For all on-the-ground assessments of the Mechanized Mining Operations (regardless of assessor), did the assessment meet the requirements of the standard for responsible mining?
- DDP-4a: COBALT ONLY: There are no serious abuses associated with the extraction, transport or trade of minerals from the mechanized mining operations as defined in Chinese Guidelines or OECD Guidance.
- DDP-4b: COBALT ONLY: The mechanized mining operation has designed and effectively implements an occupational health and safety management system in conformance with internationally recognized standards.
- DDP-4c: COBALT ONLY: If applicable, the mechanized mining operation has a due diligence and internal control system to assess risks related to forced labor, child labor, unsafe working conditions and uncontrolled use of hazardous substances in their supply chain.
- DDP-5: COBALT ONLY: For all on-the-ground assessments of the Mechanized Mining Operations (regardless of assessor), did the assessment meet the requirements of the standard for internal material control?
- DDP-5a: COBALT ONLY: The mechanized mining operation has internal material control systems in place.
- DDP-5b: COBALT ONLY: The mechanized mining operation has made all data points of the system of controls and transparency for the material supplied available to the facility.
- DDP-6: COBALT ONLY: Did the treatment unit appropriately exercise due diligence over each Artisanal Mining Operation in the supply chain where red flags or warning signs have been identified?
- DDP-6a: COBALT ONLY: Does the Artisanal Mining Operation have an independent third party certification that addresses the areas of this standard or has otherwise an independent audit confirming the third party assessment?
- DDP-6b: COBALT ONLY: If neither the treatment unit nor an independent third party certification are available, did the facility conduct an on-the-ground assessment of each Artisanal Mining Operation in the supply chain where red flags or warning signs have been identified?
- DDP-7: COBALT ONLY: For all on-the-ground assessments of the Artisanal Mining Operations (regardless of assessor), did the assessment meet the requirements of the standard for due diligence?
- DDP-7a: COBALT ONLY: Mining operations are legitimate according to the definition provided by the standard.
- DDP-7b: COBALT ONLY: There is an ongoing monitoring system in place that ensures the timely and effective reporting of incidents at mine level to relevant supply chain actors including the facility.
- DDP-8: COBALT ONLY: For all on-the-ground assessments of the Artisanal Mining Operations (regardless of assessor), did the assessment meet the requirements of the standard for responsible mining?
- DDP-8a: COBALT ONLY: There are no serious abuses associated with the extraction, transport or trade of minerals from the artisanal mining operations as defined in Chinese Guidelines or OECD Guidance.
- DDP-9: COBALT ONLY: For all on-the-ground assessments of the Artisanal Mining Operations (regardless of assessor), did the assessment meet the requirements to ensure occupational health and safety conditions are adequate to maintain the artisanal miner’s physical and mental health?
- DDP-9a: COBALT ONLY: Basic mine safety rules are defined and followed by the artisanal miners.
- DDP-9b: COBALT ONLY: Appropriate personal and well-maintained protective equipment is provided to and used by the artisanal miners.
- DDP-10: COBALT ONLY: For all on-the-ground assessments of the Artisanal Mining Operations (regardless of assessor), did the assessment meet the requirements to ensure the artisanal mining operation has made all data points of the system of controls and transparency for the material supplied available to the facility, including: a) The name and location of the mine of origin for mined material, with the greatest possible specificity b) Each location where mined material is consolidated, blended, crushed, milled, smelted and/or refined c) The method of extraction (defined as either artisanal or mechanized mining) d) The date the mineral is extracted, processed, concentrated, smelted and/or refined e) The mineral weight f) The assay results indicating the metal grade