Criterion: Upstream Assurance Mechanisms
Upstream mechanism use, participation, shipment assurance, OECD alignment, recognition by The RMI, benchmarking, unde...
Full Description
Upstream Assurance Mechanisms
Criterion ID: AM17-Upstream-Assurance-Mechanisms Category: High-Risk Sourcing
Description
Upstream mechanism use, participation, shipment assurance, OECD alignment, recognition by The RMI, benchmarking, understanding of mechanism scope/limitations/data, gap assessment, and gap-management plans.
Assessment Coverage
Assessors collect information on which upstream assurance mechanisms the facility engages with, participates in, or relies on for CAHRA-sourced materials, and whether those mechanisms are OECD-aligned and RMI-recognized. Where high-risk sourcing is applicable, additional questions examine documentation of each mechanism's scope and limitations, completion and updating of the Upstream Mechanism Benchmarking Assessment Tool, gap identification against RMAP requirements, and whether gap-management plans have been developed and implemented.
Conformance Claim
Conformance with this criterion indicates that where applicable, the facility has implemented processes to evaluate upstream assurance mechanisms.
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.