The OECD upstream audit is a comprehensive review of the in-country supply chain based on the OECD Due Diligence Guidance. Rather than covering one actor, it covers the entire supply chain from mine site to exporter.
The audit is carried out for supply chains in conflict-affected or high risk areas and is based on a commercial requirement for upstream producers to prove their mineral sourcing is undertaken in accordance with the OECD Due Diligence Guidance prior to sale into international conflict-free markets or downstream responsible sourcing programs. While there is no regulatory obligation to carry out an OECD Upstream Audit the audit is particularly relevant for upstream actors that seek to sell material to a processor or smelter covered by any of the main industry validation schemes including CFSI the RJC, and the LBMA.
As a supply chain audit, responsibility for compliance with the standard is typically at the exporter level. RCS Global works closely with the exporter to ensure other supply chain actors are informed and willing to participate in the audit.
OECD upstream audits can be commissioned by a customer of the exporter, such as a processor or downstream buyer, or may be organised as part of an upstream assurance programme or initiative to promote responsible sourcing of minerals from high risk or conflict-affected areas.
Audit of the supply chain through to the mine site level. At this level the focus shifts to the identification of risks such as evidence of child labour or armed group activity in or around the mine site.