Once the auditor has been identified by the APM, smelters/refiners (SORs) schedule directly with the auditors to agree on the date for the site visit.
Typical onsite audit duration is 1 to 3 business days but ultimately is dependent on the size and complexity of the facility and the size of the audit team. A typical agenda for the onsite audit includes:
- Opening meeting and management review: review the purpose, scope and methodology of the audit with the facility management team; identify key facility personnel who will assist throughout the audit process
- Facility tour: conduct an entire walkthrough to analyze the processes, storage, receiving and shipping including a physical inventory check of onsite and offsite storage warehouses
- Documentation review: review the facility’s conflict minerals policy and its effective implementation within management and procurement procedures; validating that the systems and controls are in place to assure conformance to the standard; conduct a mass balance review (including total material receipts, current inventory and sales volumes), validating recycled/scrap purchases, ore, concentrate and other non-recycled/scrap material source and transportation documentation.
- Closing meeting and management review: communicate audit results to the facility management including recap of the audit findings and non-conformances found during the assessment
