Step 2 — Identify and Assess Risks in the Supply Chain

• Identify the compa­ny’s suppliers and, in collab­o­ra­tion with them, iden­tify smelters, refiners or other point of trans­for­ma­tion in the supply chain where the mineral is processed to reach commer­cial market quality.
• Engage with smelters and refiners and obtain initial infor­ma­tion on country of origin, transit and trans­porta­tion routes used between mine and smelters/refiners/point of trans­for­ma­tion. There are a number of “red flag” trig­gers which oblige refiners and smelters in the supply chain to conduct due dili­gence in line with the OECD Guidance.
• Assess if smelters and refiners have conducted all the neces­sary due dili­gence steps for red flag supply chains (e.g. by reviewing the infor­ma­tion gener­ated by the assess­ment teams, reviewing the results of the audit.