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{"id":3913,"date":"2019-04-11T15:37:23","date_gmt":"2019-04-11T15:37:23","guid":{"rendered":"https:\/\/www.duediligenceguidance.org\/?page_id=3913"},"modified":"2019-05-16T14:02:42","modified_gmt":"2019-05-16T14:02:42","slug":"assessment","status":"publish","type":"page","link":"https:\/\/www.duediligenceguidance.org\/assessment\/","title":{"rendered":"On the ground assessment for red-flagged supply chains"},"content":{"rendered":"<p>[vc_row full_height=\u201cyes\u201d equal_height=\u201d\u201d background_type=\u201cimage\u201d background_color=\u201ccustom\u201d background_img=\u201c188\u201d background_position=\u201ccenter top\u201d background_repeat=\u201crepeat\u2011x\u201d background_size=\u201cdefault\u201d background_img_lazyload=\u201c1\u201d shift_y=\u201c0\u201d z_index=\u201c0\u201d background_custom_color=\u201c#ec7351\u201d css=\u201d.vc_custom_1554998401686{padding-top: 150px !important;}\u201d][vc_column][vc_row_inner][vc_column_inner width=\u201c1\/6\u201d][\/vc_column_inner][vc_column_inner width=\u201c2\/3\u201d][vc_column_text el_class=\u201cbk-white-text\u201d]<\/p>\n<h2>How should on-the-ground assessment teams&nbsp;work?<\/h2>\n<ul>\n<li>Consult with local and central govern\u00adments and civil society organ\u00adi\u00adsa\u00adtions with local knowl\u00adedge and expertise<\/li>\n<li>Consider how to share infor\u00adma\u00adtion throughout the entire supply chain, prefer\u00adably through IT-based system acces\u00adsible by other compa\u00adnies or any insti\u00adtu\u00adtion\u00adalised mechanism<\/li>\n<li>Establish or support the creation, where appro\u00adpriate, of community-monitoring networks to feed infor\u00adma\u00adtion into the assess\u00adment&nbsp;team<\/li>\n<\/ul>\n<p>[\/vc_column_text][\/vc_column_inner][vc_column_inner width=\u201c1\/6\u201d][\/vc_column_inner][\/vc_row_inner][vc_row_inner][vc_column_inner content_placement=\u201cdefault\u201d width=\u201c1\/6\u201d el_class=\u201cbk-white-text\u201d][\/vc_column_inner][vc_column_inner content_placement=\u201ctop\u201d width=\u201c2\/3\u201d el_class=\u201cbk-white-text\u201d][vc_column_text el_class=\u201cbk-white-text\u201d]<\/p>\n<h3 style=\"text-align: center;\">What questions should on-the-ground assessment teams&nbsp;ask?<\/h3>\n<p>[\/vc_column_text]<\/p><div class=\"lvca-accordion lvca-style3\" data-toggle=\"true\" data-expanded=\"false\"><div class=\"lvca-panel\" id><div class=\"lvca-panel-title\">1. Know the context of the conflict-affected and high-risk area of mineral origin, transit and\/or export<\/div><div class=\"lvca-panel-content\">\n<ul>\n<li>Study profiles on the conflict-affected and high-risk areas of origin, neigh\u00adbouring and transit coun\u00adtries (including poten\u00adtial trans\u00adporta\u00adtion routes and the loca\u00adtions of extrac\u00adtion, trade, handling, and export). Relevant infor\u00adma\u00adtion will include public reports (from govern\u00adments, inter\u00adna\u00adtional organ\u00adi\u00adsa\u00adtions, NGOs, and media), maps, UN reports and UN Security Council sanc\u00adtions, industry liter\u00ada\u00adture relating to mineral extrac\u00adtion, and its impact on conflict, human rights or envi\u00adron\u00admental harm in the country of poten\u00adtial origin, or other public state\u00adments (e.g. from ethical pension funds).<\/li>\n<li>Are there inter\u00adna\u00adtional enti\u00adties capable of inter\u00adven\u00adtion and inves\u00adti\u00adga\u00adtion, such as UN peace\u00adkeeping units, based in or near the area? Can these systems be used to iden\u00adtify actors in the supply chain? Are there local means for recourse to address concerns related to the pres\u00adence of armed groups or other elements of conflict? Are rele\u00advant national, provin\u00adcial, and\/or local regu\u00adla\u00adtory agen\u00adcies with juris\u00addic\u00adtion over mining issues capable of addressing such concerns?<\/li>\n<\/ul>\n<p><\/p><\/div><\/div><!-- .lvca-panel --><div class=\"lvca-panel\" id><div class=\"lvca-panel-title\">2. Know your suppliers and busi\u00adness partners<\/div><div class=\"lvca-panel-content\">\n<ul>\n<li>Who are the suppliers or other parties involved in financing, extracting, trading and trans\u00adporting the minerals between point of extrac\u00adtion and the point at which the company under\u00adtaking the due dili\u00adgence takes custody of the minerals? Identify all signif\u00adi\u00adcant actors in the supply chain, collecting infor\u00adma\u00adtion on owner\u00adship (including bene\u00adfi\u00adcial owner\u00adship), corpo\u00adrate struc\u00adture, the names of corpo\u00adrate offi\u00adcers and direc\u00adtors, the owner\u00adship inter\u00adests of the company or offi\u00adcers in other organ\u00adi\u00adsa\u00adtions, the busi\u00adness, govern\u00adment, polit\u00adical or mili\u00adtary affil\u00adi\u00ada\u00adtions of the company and offi\u00adcers (in partic\u00adular, focusing on poten\u00adtial rela\u00adtion\u00adships with non-state armed groups or public or private secu\u00adrity forces).<\/li>\n<li>What procure\u00adment and due dili\u00adgence systems do these suppliers have in place? What supply chain poli\u00adcies have suppliers adopted and how have they inte\u00adgrated them into their manage\u00adment processes? How do they estab\u00adlish internal controls over minerals? How do they enforce poli\u00adcies and condi\u00adtions on their suppliers?<\/li>\n<\/ul>\n<p><\/p><\/div><\/div><!-- .lvca-panel --><div class=\"lvca-panel\" id><div class=\"lvca-panel-title\">3. Know the condi\u00adtions of mineral extrac\u00adtion in conflict affected and high-risk areas<\/div><div class=\"lvca-panel-content\">\n<ul>\n<li>What is the exact origin of the minerals (what are the specific mines)?<\/li>\n<li>What was the method of extrac\u00adtion? Identify if minerals were extracted through arti\u00adsanal and small-scale mining (\u201cASM\u201d) or large-scale mining and if through ASM, iden\u00adtify, where possible, whether extracted by indi\u00advidual arti\u00adsanal miners, arti\u00adsanal mining coop\u00ader\u00ada\u00adtives, asso\u00adci\u00ada\u00adtions, or small enter\u00adprises. Identify the taxes, royal\u00adties and fees paid to govern\u00adment insti\u00adtu\u00adtions, and the disclo\u00adsures made on those payments.<\/li>\n<li>Do condi\u00adtions of extrac\u00adtion involve the pres\u00adence and involve\u00adment of non-state armed groups or public or private secu\u00adrity forces, including in one or more of the following: direct control of the mine or trans\u00adporta\u00adtion routes around mine; levying of taxes on miners or extor\u00adtion of minerals; bene\u00adfi\u00adcial or other owner\u00adship inter\u00adests in the mine site or mineral rights by non-state armed groups or public or private secu\u00adrity forces and\/or their fami\u00adlies and\/ or asso\u00adciates; engage\u00adment in mining as a second income when \u201coff duty\u201d; or provi\u00adsion of secu\u00adrity paid by miners or through taxes arising from produc\u00adtion. Do any of these armed groups or mili\u00adtary units have an involve\u00adment or interest in the conflict? Do any of them have a history of involve\u00adment in wide\u00adspread human rights abuses or other crimes?<\/li>\n<li>What are the condi\u00adtions of extrac\u00adtion? In partic\u00adular, iden\u00adtify if there&nbsp;are&nbsp;<ul>\n<li>any forms of torture, cruel, inhuman and degrading treat\u00adment exacted for the purposes of mineral extraction;<\/li>\n<li>any forms of forced or compul\u00adsory labour which means work or service which is exacted from any person under the menace of penalty and for which said person has not offered himself voluntarily;<\/li>\n<li>the worst forms of child labour for the purposes of mineral extraction;<\/li>\n<li>other gross human rights viola\u00adtions and abuses such as wide\u00adspread sexual violence on mine sites or in the course of mineral extrac\u00adtion;&nbsp;or<\/li>\n<li>war crimes or other serious viola\u00adtions of inter\u00adna\u00adtional human\u00adi\u00adtarian law, crimes against humanity or genocide.<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<p><\/p><\/div><\/div><!-- .lvca-panel --><div class=\"lvca-panel\" id><div class=\"lvca-panel-title\">4. Know the condi\u00adtions of mineral trans\u00adport, handling and trade in conflict affected and high-risk areas<\/div><div class=\"lvca-panel-content\">\n<ul>\n<li>Were down\u00adstream purchasers situ\u00adated at the mine site or else\u00adwhere? Were the minerals from different miners handled and processed sepa\u00adrately and kept sepa\u00adrate when sold down\u00adstream? If not, at what point were the minerals processed, consol\u00adi\u00addated and mixed when sold downstream?<\/li>\n<li>Who were the inter\u00adme\u00addi\u00adaries that handled the minerals? Identify whether any of those inter\u00adme\u00addi\u00adaries have been reported or suspected to be extracting or trading minerals asso\u00adci\u00adated with non-state armed groups.<\/li>\n<li>To what extent, if any, are public or private secu\u00adrity forces or non-state armed groups directly or indi\u00adrectly involved in the trading, trans\u00adporta\u00adtion or taxing of the minerals? Are the public or private secu\u00adrity forces or non-state armed groups bene\u00adfiting in any way from the trading, trans\u00adporting or taxing of minerals being carried out by other parties, including through affil\u00adi\u00ada\u00adtions with inter\u00adme\u00addi\u00adaries or exporters?<\/li>\n<li>To what extent, if any, are the public or private secu\u00adrity forces or non-state armed groups present along trade and trans\u00adporta\u00adtion routes? Are there any human rights abuses occur\u00adring in trading, trans\u00adporta\u00adtion or taxing of the minerals? For example, is there evidence of forced labour, extor\u00adtion or coer\u00adcion being used? Is child labour being used? In partic\u00adular, iden\u00adtify if there&nbsp;are&nbsp;<ul>\n<li>any forms of torture, cruel, inhuman and degrading treat\u00adment exacted for the purposes of mineral trans\u00adport or&nbsp;trade;<\/li>\n<li>any forms of forced or compul\u00adsory labour to mine, trans\u00adport, trade or sell minerals;<\/li>\n<li>the worst forms of child labour for the purposes of mineral trans\u00adport or&nbsp;trade;<\/li>\n<li>other gross human rights viola\u00adtions and abuses such as wide\u00adspread sexual violence on mine sites or in the course of mineral trans\u00adport or trade; or<\/li>\n<li>war crimes or other serious viola\u00adtions of inter\u00adna\u00adtional human\u00adi\u00adtarian law, crimes against humanity or geno\u00adcide for the purposes of mineral trans\u00adport or&nbsp;trade.<\/li>\n<\/ul>\n<\/li>\n<li>What infor\u00adma\u00adtion is avail\u00adable to verify the down\u00adstream trade, such as authentic docu\u00adments, trans\u00adporta\u00adtion routes, licensing, cross-border trans\u00adporta\u00adtion, and the pres\u00adence of armed groups and\/or public or private secu\u00adrity forces?<\/li>\n<\/ul>\n<p><\/p><\/div><\/div><!-- .lvca-panel --><div class=\"lvca-panel\" id><div class=\"lvca-panel-title\">5. Know the condi\u00adtions of export from conflict affected and high-risk areas<\/div><div class=\"lvca-panel-content\">\n<ul>\n<li>What was the point of export and have there been reports or are there suspi\u00adcions of facil\u00adi\u00adta\u00adtion payments or other bribes paid at points of export to conceal or fraud\u00adu\u00adlently misrep\u00adre\u00adsent the mineral origin? What docu\u00adments accom\u00adpa\u00adnied mineral export and have there been reports or are there suspi\u00adcions of fraud\u00adu\u00adlent docu\u00admen\u00adta\u00adtion or inac\u00adcu\u00adrately described decla\u00adra\u00adtions (on type of mineral, mineral quality, origin, weight, etc.)? What taxes, duties or other fees were paid on export and have there been reports or are there suspi\u00adcions of under-declaration?<\/li>\n<li>How was export trans\u00adporta\u00adtion coor\u00addi\u00adnated and how was it carried out? Who are the trans\u00adporters and have there been reports or are there suspi\u00adcions of their engage\u00adment in corrup\u00adtion (facil\u00adi\u00adta\u00adtion payment, bribes, under-declarations, etc.)? How was export financing and insur\u00adance obtained?<\/li>\n<\/ul>\n<p><\/p><\/div><\/div><!-- .lvca-panel --><\/div><!-- .lvca-accordion -->[vc_button title=\u201cReturn Home\u201d color=\u201cwhite\u201d font_weight=\u201c700\u201d link=\u201curl:https%3A%2F%2Fwww.duediligenceguidance.org%2F|title:Due%20Diligence||\u201d css=\u201d.vc_custom_1558014194755{margin-top: 100px !important;}\u201d][\/vc_column_inner][vc_column_inner width=\u201c1\/6\u201d][\/vc_column_inner][\/vc_row_inner][\/vc_column][\/vc_row]\n","protected":false},"excerpt":{"rendered":"<p>[vc_row full_height=\u201cyes\u201d equal_height=\u201d\u201d background_type=\u201cimage\u201d background_color=\u201ccustom\u201d background_img=\u201c188\u201d background_position=\u201ccenter top\u201d background_repeat=\u201crepeat\u2011x\u201d background_size=\u201cdefault\u201d background_img_lazyload=\u201c1\u201d shift_y=\u201c0\u201d z_index=\u201c0\u201d background_custom_color=\u201c#ec7351\u201d css=\u201d.vc_custom_1554998401686{padding-top: 150px !important;}\u201d][vc_column][vc_row_inner][vc_column_inner width=\u201c1\/6\u201d][\/vc_column_inner][vc_column_inner width=\u201c2\/3\u201d][vc_column_text el_class=\u201cbk-white-text\u201d] How should on-the-ground assess\u00adment teams&nbsp;work? Consult with local and central govern\u00adments and civil society organ\u00adi\u00adsa\u00adtions with local knowl\u00adedge and exper\u00adtise Consider how to share infor\u00adma\u00adtion throughout the entire supply chain, prefer\u00adably through IT-based system accessible\u2026<\/p>\n<p><a rel=\"bookmark\" class=\"andre_button_alt2 wvc-button wvc-button-size-xs\" href=\"https:\/\/www.duediligenceguidance.org\/assessment\/\"><span>Continue reading<\/span><\/a><\/p>\n","protected":false},"author":1,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"","meta":{"wp_typography_post_enhancements_disabled":false,"footnotes":""},"class_list":{"0":"post-3913","1":"page","2":"type-page","3":"status-publish","4":"hentry","5":"entry","6":"clearfix","7":"entry-grid","8":"entry-columns-default","9":"entry-page-module-layout-standard","10":"no-post-thumbnail","11":"entry-page","13":"entry-page-grid"},"_links":{"self":[{"href":"https:\/\/www.duediligenceguidance.org\/wp-json\/wp\/v2\/pages\/3913","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.duediligenceguidance.org\/wp-json\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/www.duediligenceguidance.org\/wp-json\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/www.duediligenceguidance.org\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/www.duediligenceguidance.org\/wp-json\/wp\/v2\/comments?post=3913"}],"version-history":[{"count":10,"href":"https:\/\/www.duediligenceguidance.org\/wp-json\/wp\/v2\/pages\/3913\/revisions"}],"predecessor-version":[{"id":4073,"href":"https:\/\/www.duediligenceguidance.org\/wp-json\/wp\/v2\/pages\/3913\/revisions\/4073"}],"wp:attachment":[{"href":"https:\/\/www.duediligenceguidance.org\/wp-json\/wp\/v2\/media?parent=3913"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}