Criterion: Material Traceability, Transaction Records and Recordkeeping
Internal material controls, received-material records, source/transport information, transaction documentation, suppl...
Full Description
Material Traceability, Transaction Records and Recordkeeping
Criterion ID: AM06-Material-Traceability-Transaction-Records-and-Recordkeeping Category: Core Due Diligence
Description
Internal material controls, received-material records, source/transport information, transaction documentation, supplying processor information, EITI-related transparency, and general record retention.
Assessment Coverage
Assessors review the facility's internal material control systems and records for all received materials, including date, form, quantity, source, and transport documentation. Questions cover documentation for intermediate materials, secondary materials, non-mineral feedstocks, legacy receipts, and assay samples. Additional checks address supply chain data collection (origin, mining type, transit countries), EITI transparency support, supplying processor identification and record validation, and five-year record retention practices.
Conformance Claim
Conformance with this criterion indicates that the facility has implemented systems of internal material control and maintains chain-of-custody and/or traceability and transaction records to support due diligence.
Profiles using this criterion
Responsible Minerals Assurance Process
Conformity Alignment
Conform
Pass: Yes
Definition: "The facility is conformant with a requirement if no non-conformances are identified - i.e., significant deviations from the Standard requirements or the Assessment Criteria.
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Conform Continual Improvement
Pass: Yes
Definition: "The facility has developed the required policy, procedure, or process but has only partially completed its implementation. The facility must formally acknowledge that not all due diligence has been completed and provide a plan or road map for full implementation. Outstanding items must be resolved within the following assessment period.
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Conform Observation
Pass: Yes
Definition: "The assessor notes information that does not constitute a non-conformance, including limitations encountered during the assessment, unique aspects of facility operations, or other relevant feedback. Non-conformances addressed during the on-site assessment are reclassified to this level in the final report.
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Non Conform
Pass: No
Definition: "The facility's systems, processes, and practices deviate from the Standard requirements or the Assessment Criteria. Deviations are substantive gaps in policy, process, or implementation that constitute a non-conformance as supported by sufficient and appropriate assessment evidence.
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Zero Tolerance
Pass: No
Definition: "A zero-tolerance situation exists where access to the facility, documentation, or key personnel is denied; any bribe or gift is offered to the assessor; documentation has been falsified; the facility deliberately misrepresents facts through deception, coercion, or interference; or any other action or absence thereof risks the credibility or integrity of the RMAP system. The assessor stops the assessment immediately and notifies RMI.
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Not Applicable
Pass: No
Definition: "The criterion or assessment activity does not apply to the facility based on its operations, sourcing profile, or assessor determination of applicability conditions.
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Change Log
1.0.0 (2026-07-03)
Initial release.