Back

Define the traceability documentation required for chain of custody certification.


CONTROL ID
08895
CONTROL TYPE
Establish/Maintain Documentation
CLASSIFICATION
Preventive

SUPPORTING AND SUPPORTED CONTROLS



This Control directly supports the implied Control(s):
  • Establish, implement, and maintain a chain of custody or traceability system over the entire supply chain., CC ID: 08878

There are no implementation support Controls.


SELECTED AUTHORITY DOCUMENTS COMPLIED WITH



  • A copy of the mine license or certificate or a government-issued country of origin certificate must be furnished to help with the traceability documentation requirements and it all must identify the mining company. (§ B(III)(2) Level 1 Country Documentation Expectations (a), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • A government-issued export certificate or document must be furnished to help with the traceability documentation requirements. (§ B(III)(2) Level 1 Country Documentation Expectations (b), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • Bills of lading or transportation documentation must be furnished to help with the traceability documentation requirements. (§ B(III)(2) Level 1 Country Documentation Expectations (c), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • Sample analysis and results from the supplier and the smelter must be furnished to help with the traceability documentation requirements. (§ B(III)(2) Level 1 Country Documentation Expectations (d), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The export documentation must be furnished by artisanal and small-scale mining to help with the traceability documentation requirements. (§ B(III)(2) Level 1 Country Documentation Expectations ¶ 2(a), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The country of origin certificate must be furnished by artisanal and small-scale mining to help with the traceability documentation requirements. (§ B(III)(2) Level 1 Country Documentation Expectations ¶ 2(b), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The mine site of origin or other documents to assess the legitimacy of the artisanal and small-scale mining source must be furnished by artisanal and small-scale mining to help with the traceability documentation requirements. (§ B(III)(2) Level 1 Country Documentation Expectations ¶ 2(c), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • A declaration from the smelter's direct supplier stating the mine site of origin must be furnished to help with the traceability documentation requirements. (§ B(III)(2) Level 1 Country Documentation Expectations ¶ 3, Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The on-site mine visit report by the smelter or a representative must be furnished to help with the traceability documentation requirements. (§ B(III)(2) Level 2 Country Documentation Expectations (e), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • All documents verifying the chain of custody from the mine to the smelter must be furnished to help with the traceability documentation requirements. (§ B(III)(2) Level 2 Country Documentation Expectations (f), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The government-issued operating license or certificate for operations or registered cooperatives must be furnished to help with the traceability documentation requirements. (§ B(III)(2) Level 2 Country Documentation Expectations (g), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The traceability components must include the receiving and shipping documentation, including identified suppliers, weights, and lot numbers assigned by the refinery. (§ B(II)(a), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The traceability components must include sales documents with specific lot numbers and total sales volume. (§ B(II)(b), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The traceability components must include a reconciliation of inventories, receipts, and sales volumes. (§ B(II)(c), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The traceability components must include tracing products back to a close approximation of the source for mixed batches. (§ B(II)(d), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The government issued mine of origin certificate, if any, must be furnished to help with the traceability documentation requirements for mining materials from level 1 countries. (§ B(III)(a)(i)(a), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The government issued import document or export document, if any, must be furnished to help with the traceability documentation requirements for mining materials from level 1 countries. (§ B(III)(a)(i)(b), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The shipping and transportation documentation must be furnished to help with the traceability documentation requirements for mining materials from level 1 countries. (§ B(III)(a)(i)(c), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The mine assay results and weights must be furnished to help with the traceability documentation requirements for mining materials from level 1 countries. (§ B(III)(a)(i)(d), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The on-site mine visit report must be furnished to help with the traceability documentation requirements for mining materials from level 2a countries. (§ B(III)(a)(ii)(e), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The must determine the amount of material from a given mine to be compared against the production capability to help with the traceability documentation requirements for mining materials from level 2b countries. (§ B(III)(a)(iii)(f), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The organization must review the implementation of Organization for Economic Cooperation and Development due diligence guidelines, along with a chain of custody or traceability system and on-the-ground risk assessments to help with the traceability documentation requirements for mining materials fro… (§ B(III)(a)(iii)(g), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The review of the on-the-ground risk assessment and documentation used to determine if the mine did not directly or indirectly finance conflict or was under the control of armed groups must be furnished to help with the traceability documentation requirements for mining materials from level 3 countr… (§ B(III)(a)(iii)(h), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The the identification of the source must be furnished to help with the traceability documentation requirements for recyclable materials from level 1 countries. (§ B(III)(b)(i)(a), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The the identification of the type of recyclable materials must be furnished to help with the traceability documentation requirements for recyclable materials from level 1 countries. (§ B(III)(b)(i)(b), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The government issued import documentation or export documentation must be furnished to help with the traceability documentation requirements for recyclable materials from level 1 countries. (§ B(III)(b)(i)(c), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The shipping and transportation documentation must be furnished to help with the traceability documentation requirements for recyclable materials from level 1 countries. (§ B(III)(b)(i)(d), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The assay results and weights must be furnished to help with the traceability documentation requirements for recyclable materials from level 1 countries. (§ B(III)(b)(i)(e), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The onsite trip reports to the manufacturing site or collection site must be furnished to help with the traceability documentation requirements for recyclable materials from level 2a countries. (§ B(III)(b)(ii)(f), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • A confirmation of the source capability using the last 3 years of operations must be furnished to help with the traceability documentation requirements for recyclable materials from level 2a countries. (§ B(III)(b)(ii)(g), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • A review of the Organization for Economic Cooperation and Development gold supplement requirements must be furnished to help with the traceability documentation requirements for recyclable materials from level 2b countries. (§ B(III)(b)(iii)(h), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • A review of the Organization for Economic Cooperation and Development gold supplement requirements must be furnished to help with the traceability documentation requirements for recyclable materials from level 3 countries. (§ B(III)(b)(iii)(i), EICC and GeSI Gold Supply Chain Transparency: Smelter Audit, Jule 12, 2012)
  • The acquisition supply chain traceability should include the name and location of all supply chain intermediaries from part manufacturer to the direct source. (App C § C.1, SAE AS 5553: Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition, Revision A)
  • A manufacturer certification to a military or aerospace specification or standard is required for acquiring products for military use. (App C § C.2.2, SAE AS 5553: Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition, Revision A)
  • The organization shall provide copies of the certificate of conformity, along with the test results, with the delivery of each part. (§ 4.2.4, SAE AS6081, Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition - Distributors)
  • The organization shall control the unique identification of the outputs when traceability is a requirement, and shall retain the documented information necessary to enable traceability. (8.5.2 ¶ 3, ISO 9001 Quality Management systems - Requirements, Fifth edition 2015-09-15)