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Review documentation that justifies the sourcing and chain of custody.


CONTROL ID
08899
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



  • The certificate of origin should be reviewed to help justify the chain of custody and sourcing from level 3 countries. (§ B(III)(2) Level 3 Country Documentation Expectations ¶ 3(r), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The Customs export record or certificate should be reviewed to help justify the chain of custody and sourcing from level 3 countries. (§ B(III)(2) Level 3 Country Documentation Expectations ¶ 3(s), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The inland forwarding note, sea Bill of Lading, or through Bill of Lading should be reviewed to help justify the chain of custody and sourcing from level 3 countries. (§ B(III)(2) Level 3 Country Documentation Expectations ¶ 3(t), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The Customs import record should be reviewed to help justify the chain of custody and sourcing from level 3 countries. (§ B(III)(2) Level 3 Country Documentation Expectations ¶ 3(u), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • Minerals that originate from international conference for the great lakes region members are required to have a certificate showing that the material passed the international conference for the great lakes region regional certification mechanism standards and should be reviewed to help justify the c… (§ B(III)(2) Level 3 Country Documentation Expectations ¶ 3(v), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The reasonable plausibility check of the sourced quantity should be reviewed to help justify the chain of custody and sourcing from level 3 countries. (§ B(III)(2) Level 3 Country Documentation Expectations ¶ 3(w), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The information that is disclosed to downstream companies on the suppliers should be reviewed to help justify the chain of custody and sourcing from level 3 countries. (§ B(III)(2) Level 3 Country Documentation Expectations ¶ 3(x), Conflict-Free Smelter (CFS) Program Supply Chain Transparency Smelter Audit Protocol for Tin, Tantalum and Tungsten, December 21, 2012)
  • The certificates of conformance or other documentation should be examined for originality and applicability, including checking that the lot and/or date codes on the packaging and the parts match or is not inconsistent with the product discontinuation notices. (App E § E.1.1 ¶ 2.a, SAE AS 5553: Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition, Revision A)
  • The certificates of conformance or other documentation should be examined for originality and applicability, including the presence of the manufacturer's logo or label or it matches what is shown on the manufacturer's website or previous shipments. (App E § E.1.1 ¶ 2.b, SAE AS 5553: Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition, Revision A)
  • The certificates of conformance or other documentation should be examined for originality and applicability, including not using poor English or misspelled words, and documentation not being altered or modified. (App E § E.1.1 ¶ 2.c, SAE AS 5553: Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition, Revision A)
  • The certificates of conformance or other documentation should be examined for originality and applicability, including checking that the barcode symbols match the human-readable printed part data. (App E § E.1.1 ¶ 2.d, SAE AS 5553: Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition, Revision A)
  • The certificates of conformance or other documentation should be examined for originality and applicability, including ensuring the packaging materials are consistent with the datasheet description and indicates the parts are new and authentic. (App E § E.1.1 ¶ 2.e, SAE AS 5553: Fraudulent/Counterfeit Electronic Parts; Avoidance, Detection, Mitigation, and Disposition, Revision A)
  • Supply chain traceability information, internal part specifications, manufacturer's datasheet, certificates of conformance, or other documentation should be examined for originality and applicability, including checking that the lot and/or date codes on the packaging and the parts match or is not in… (§ 4.2.6.4.1 ¶ 1.a, SAE AS6081, Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition - Distributors)
  • Supply chain traceability information, internal part specifications, manufacturer's datasheet, certificates of conformance, or other documentation should be examined for originality and applicability, including the presence of the manufacturer's logo or label or it matches what is shown on the manuf… (§ 4.2.6.4.1 ¶ 1.b, SAE AS6081, Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition - Distributors)
  • Supply chain traceability information, internal part specifications, manufacturer's datasheet, certificates of conformance, or other documentation should be examined for originality and applicability, including not using poor English or misspelled words, and documentation not being altered or modifi… (§ 4.2.6.4.1 ¶ 1.c, SAE AS6081, Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition - Distributors)
  • Supply chain traceability information, internal part specifications, manufacturer's datasheet, certificates of conformance, or other documentation should be examined for originality and applicability, including checking that the barcode symbols match the human-readable printed part data. (§ 4.2.6.4.1 ¶ 1.d, SAE AS6081, Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition - Distributors)
  • Supply chain traceability information, internal part specifications, manufacturer's datasheet, certificates of conformance, or other documentation should be examined for originality and applicability, including ensuring the packaging materials are consistent with the datasheet description and indica… (§ 4.2.6.4.1 ¶ 1.e, SAE AS6081, Fraudulent/Counterfeit Electronic Parts: Avoidance, Detection, Mitigation, and Disposition - Distributors)