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[null,null,null,null,null,null,null,null,"Chain Of Custody Outsource Contractor Assessment Form (T008_2012) Revision 0"]
[]
[null,"RJC Chain of Custody Outsource Contractor Assessment Form"]
[null,"Chain Of Custody Outsource Contractor Assessment Form (T008_2012) Revision 0"]
[]
[null,"MENU"]
[]
[null,"Useful Information","About the Toolkit"]
[null,null,"Guidance about Using the Toolkit"]
[null,null,"Conducting the Assessments"]
[null,null,"Glossary of Terms"]
[]
[null,"Assessment Data","Outsourcing Contractor Details"]
[null,null,"Transferred Materials"]
[null,null,"Assessment Questions"]
[null,null,"Summary of Findings"]
[null,null,"Additional Findings"]
[]
[null,"Related RJC Documents","RJC CoC Standard (S002_2012)"]
[null,null,"RJC CoC Certification Handbook (G003_2012)"]
[null,null,"RJC CoC Standards Guidance (G004_2012)"]
[null,null,"RJC CoC Assessment Toolkit (T007_2012)"]
[null,null,"RJC CoC Assessment QuestionsAssessment Questions and Types of Evidence (T009_2012)"]
[null,null,"RJC Assessment Manual (T001_2009)"]

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[null,"About the Toolkit"]
[null,"RJC Chain-of-Custody (CoC) Certification "]
[null,"RJC CoC Outsource Contractor Assessment Form [Document reference - T008_2012]"]
[]
[null,"A. Background"]
[null,"The Responsible Jewellery Council (RJC) is a not-for-profit membership organisation with the following Mission:"]
[null,"To advance responsible ethical, social and environmental practices, which respect human rights, throughout the Jewellery supply chain, from mine to retail.  "]
[]
[null,"The RJC’s Code of Practices provides a common standard for responsible business practices.  All Commercial Members of the RJC are required to be audited by accredited, third party auditors to verify their conformance with the Code of Practices, and thus achieve RJC Member Certification within two years of joining.  For more information, please visit: www.responsiblejewellery.com"]
[null,"www.responsiblejewellery.com "]
[null,"The RJC Chain-of-Custody (CoC) Standard builds on and complements the Code of Practices, and is voluntary for RJC Members.  The CoC Standard provides requirements for the creation of a Chain-of-Custody for responsibly-sourced Precious Metals produced, processed and traded through jewellery supply chains.  It specifies requirements for a business to segregate CoC Material from other material in its custody, and to provide relevant information supporting the provenance of CoC Materials when transferred or sold to other parties.  CoC Material may be purchased and sold between different businesses certified as conforming with this Standard, thereby enabling credible claims to be made about the responsible sourcing of Precious Metals.  "]
[]
[]
[null,"Eligible Materials are Gold and Platinum Group Metals sourced in accordance with the requirements of the CoC Standard.  Diamonds, and materials currently outside the RJC’s scope, such as other metals in alloys, plating or coatings, leather, and other precious stones, are not covered under the CoC Standard."]
[]
[null,"Diamonds have been removed from the scope of the RJC CoC Standard, pending additional consultation with the diamond industry.   "]
[null,"B. About this Form"]
[null,"The RJC CoC Outsource Contractor Assessment Form (the Form)  is to be used in conjunction with the RJC CoC Assessment Toolkit (T007_2012)."]
[]
[null,"The Form  builds on the RJC’s existing systems for auditor accreditation and training, the current verification model outlined in the RJC Assessment Manual (T001_2009), and the RJC CoC Certification Handbook (G003_2010)."]
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[null,"This is a ‘living document’ and the RJC reserves the right to revise this Toolkit based on implementation experience and emerging good practice.  The version posted on the RJC website supersedes all other versions.  To verify this document is current, please visit:"]
[]
[null,"www.responsiblejewellery.com "]
[null,"C. Disclaimer"]
[null,"No guarantee, warranty or representation is made as to the accuracy or completeness of the Form  and other documents or information sources referenced in the Form  Use of the Form is not intended to and does not replace, contravene or otherwise alter the requirements of any applicable national, state or local governmental statutes, laws, regulations, ordinances, or other requirements regarding the matters included herein.  "]
[]
[null,"D. Status and Effective Date"]
[null,"This is Revision 1.0 of the RJC Chain-of-Custody Outsource Contractor Assessment Form which was approved by the RJC Board on [date] and is applicable from the date of publication."]

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[null,"Guidance for Using the Toolkit"]
[null,"This worksheet contains information about the toolkit and its features  The following topics are covered (navigate by clicking the topic headings):"]
[null,"Features"]
[null,"Enabling Macros"]
[]
[]
[null,"Features"]
[]
[null,"The Toolkit uses in built drop menus, checkboxes, macro enabled buttons, formulas and hyperlinks to assist with the conduct of a CoC Assessment and/or Audit.  Fields are also colour coded to assist the user.  Main features used in the Toolkit are described below:"]
[]
[null,"Green cells are locked cells that contain information pertaining to the CoC Assessment and/or Audit.  Not that some text appears in blue type font.  This information generally consists of additional instructions or comments to assist the user."]
[]
[null,"White fields are used to enter free text. An example is show in this example screenshot:"]
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[]
[]
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[null,"Pale blue fields contain a drop down menu with options that you must use to select a valid entry.  Hovering over these cells with your mouse pointer displays information about the drop down menu and the options contained therein.  This is illustrated in the example screen shot below:"]
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[]
[]
[]
[null,"A hyperlink is usually in blue type font that is underlined.  A hyperlink is a link that part of the toolkit that opens another part or another document when you click it. The destination can also be another web page. Hyperlink used in this tool include links to other RJC documents as well as the RJC we page.  For example, clicking on the RJC Logo, located on the top right have corner of every worksheet on the toolkit will navigate you to the RJC web site (of course you must have internet connectivity."]
[]
[null,"Checkbox buttons are also used to make selections used to tailor the scope of the CoC Assessment and/or Audit.  All applicable options must be selected. Checkboxes are used to identify the nature of the Entity sector as well the type and source of CoC Materials that constitutes the basis for the CoC Certification Scope. Therefore, it is important that check boxes are correctly used. An example checkbox screenshot is shown below: "]
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[]
[]
[null,"Buttons are used to tailor the Assessment Toolkit.  Buttons are also used in must the same way as hyperlinks to navigate to different parts of the toolkit. Examples of buttons are shown below:"]
[]
[]
[null,"Enabling Macros"]
[null,"Macros are used in this Toolkit and have been designed to assist the CoC Assessment and/or Audit process. You may need to enable macros on your computer.  Help about how to do this can be obtained by using the Help feature in your version of Microsoft Excel.  Below is a extract from the Microsoft online help which explains how to enable macros in Microsoft Excel 2010."]

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[null,"Guidance for Using the Toolkit"]
[null,"This worksheet contains guidance on conducting CoC Assessments and Audits.  The following topics are covered (navigate by clicking the topic headings):"]
[null,"Guidance about the sections in this Form:"]
[null,"Part 1:  Outsourcing Contractor Contact Details"]
[null,"Part 2:  Transferred Materials"]
[null,"Part 3a: Assessment Questions"]
[null,"Part 3b: Summary of Findings"]
[null,"Part 3c: Additional Findings"]
[]
[null,"Part 1:  Outsourcing Contractor Contact Details"]
[null,"In this section the Entity must provide contact information including:"]
[null,"Entity Name"]
[null,"Head Office "]
[null,"Name of Main CoC Contact"]
[null,"Name and position of person(s) participating in the Assessment "]
[null,"Part 2:  Transferred Materials"]
[null,"In this section the Contractor must provide information about the CoC Material in custody  This includes:"]
[null,"Coc Material by type (Gold, Platinum, Palladium and/or Rhodium) and source (Mined, Mining Byproduct, Recycled, Grandfathered and/or Mixed). More than one sector can be selected.  Note that for Recertification Audits, the Entity is also requested to provision information about the annual sales of CoC Material (by type and source) relevant to the CoC Certification Scope.  The annual sales (in US$ millions) is selected based on the ranges available in the drop down menus."]
[]
[]
[null,"Key details about the Entity's Outsourcing Contractors (if applicable), including such as name, location, number of employees and contractors, a brief written explanation of the nature of custody transfer of CoC Eligible Materials between the Entity and the Outsourcing Contactor.  Note that a separate Assessment must be conducted (either by the Entity or the Outsourcing Contractor on behalf of the Entity) for each Outsourcing Contractor used by the Entity to handle CoC Materials.  The Outsourcing Contractor Assessment Template should be used for each Outsourcing Contractor."]
[]
[]
[null,"Part 3a: Assessment Questions"]
[null,"This section can be used by the Entity or the Outsourcing Contractor to record responses, evidence and findings that demonstrate how the Entity performs against the Provision 2 of the CoC Standard."]
[null,"All applicable Provisions are assessed/audited at all Facilities in the CoC Certification Scope, using the verification model outlined in the RJC Assessment Manual (T001_2009).  Further information about the model can be found in that document.  All applicable Provisions must be addressed as follows:"]
[null,"Answer each of the questions listed in the column with the heading  \"Assessment Questions”."]
[null,"List the evidence and include any applicable references in the column with the heading “Objective Evidence in Support of Findings”. "]
[null,"Document any findings, apparent non-Conformances, adverse conditions, observations and/or noteworthy achievements relating to the degree of Conformance with the Provision.  This is documented in the column with the heading “Observations and Findings”. "]
[null,"Identify the role or functional area within the  organisation with responsibility to manage the respective Provision.  "]
[null,"Assign the “Performance Rating” in the final column of the table (Compliance, Minor Non-Conformance, Major Non-Conformance, or Not Applicable)."]
[null,"Additional comments and notes may be added in the final column."]
[]
[null,"Non-Conformances and Corrective Actions"]
[null,"The following conformance ratings are used in the audit for each provision of the Standard:"]
[null,"Conformance.  The Member’s policies, systems, procedures and processes perform in a manner that is conformant with the provision."]
[null,"Minor Non-Conformance.  The Member’s policies, systems, procedures and processes perform in a manner that is not wholly in conformance with the provision, due to an isolated lapse of either performance, discipline and control which does not lead to a Major Non-Conformance."]
[null,"Major Non-Conformance. The Member’s policies, systems, procedures and processes perform in a manner that is not conformant with the provision due to:"]
[null,"The total absence of implementation of the provision; or"]
[null,"A systemic failure or total lack of required controls; or"]
[null,"A group of related, repetitive and persistent Minor Non-Conformances indicating inadequate implementation."]
[null,"Critical Breach.  A finding or observation, supported by objective evidence, of deliberate falsification of information required to support a conformance rating.  "]
[null,"Not Applicable.  The provision cannot be implemented by a Member due to the nature of its business covered by the Certification Scope.  "]
[null,"Time Period for Sampling Records"]
[null,"For the first Self Assessment or Certification Audit, evidence should include records from the previous 12 months.  Sampling during a Surveillance Audit or a Re-Certification Audit should include records since the last audit."]
[]
[null,"Part 3b: Summary of Findings"]
[null,"This section summarises the Assessment Findings in a Table.  A chart is also provided which illustrates the number of conformances and non-conformances. "]
[null,"Part 3c: Additional Findings"]
[null,"This section can be used to record additional information and findings not directly captured by the Assessment Questions (Part 3a) but deemed relevant to the Assessment.  Suggested Business Improvements may also be documented here."]

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[]
[null,"GLOSSARY"]
[null,"Accredited Auditor:  An independent, third party person or organisation meeting the RJC’s objective selection criteria and accredited to carry out RJC-related audits."]
[]
[null,"Adjoining Country: Defined with reference to Section 1502 of the United States’ Dodd-Frank Wall Street Reform and Consumer Protection Act as a country that shares an internationally recognised border with the Democratic Republic of the Congo, and includes Angola, Burundi, Central African Republic, Kenya, Republic of Congo, Rwanda, South Sudan, Tanzania, Uganda and Zambia."]
[]
[null,"ASM:  Artisanal and small-scale mining."]
[]
[null,"Bullion Bank:  Investment banks that function as wholesale suppliers dealing in large quantities of refined gold.  "]
[]
[null,"Certification Audit:  The CoC Certification Audit provides the independent, third party verification that Chain-of-Custody Management Systems have been implemented to meet applicable provisions in the CoC Standard.  "]
[]
[null,"Certification Scope:  See CoC Certification Scope. "]
[]
[null,"Chain-of-Custody: The documented sequence of Custody that occurs when CoC Material is created by an Eligible Material Declaration, and transferred from one Facility and/or Entity to another along the supply chain through the issuance of a CoC Transfer Document.  "]
[]
[null,"Chain-of-Custody (CoC) Certification Scope: The CoC Certification Scope is defined by the Member/Entity seeking CoC Certification.  It must include: "]
[null,"1.       All Facilities under the Control of the Member that the Member/Entity intends to use for the extraction, processing, manufacturing, storage, handling, shipping and receiving, and marketing of CoC Material; and"]
[null,"2.       All Outsourcing Contractors that the Member/Entity intends to use for the processing and manufacturing of CoC Material; and"]
[null,"3.       The types of CoC Material (Gold, and/or Platinum Group Metals) to be included in the Certification Scope; and"]
[null,"4.       The types of Eligible Material, if any, for which the Member/Entity intends to issue Eligible Material Declarations."]
[]
[null,"Chain-of-Custody (CoC) Certified Entity:  An Entity that is the whole or part of a Member that conforms with the applicable parts of the RJC CoC Standard, as verified by an RJC Accredited Auditor."]
[]
[null,"Chain-of-Custody (CoC) Material (CoC Gold and/or CoC Platinum Group Metals):  Material with an Eligible Material Declaration from a CoC Certified Entity that is transferred in accordance with the RJC CoC Standard.   CoC Material may be one or more of Mined, Recycled, or Grandfathered (see Eligible Material definitions)."]
[]
[null,"Chain-of-Custody (CoC) Transfer Document: A document showing the information required for a transfer of CoC Material to another Entity, and issued by a CoC Certified Entity in accordance with the RJC CoC Standard. "]
[]
[null,"Conflict: Armed aggression, widespread violence, and/or widespread human rights abuses. "]
[]
[null,"Conflict-Affected Area: Area where Conflict is prevalent.  The area may be a region, a country, an area within a country, or an area that crosses one or more country boundaries. Operations are not necessarily complicit in Conflict if they are located in a Conflict-Affected Area.  The DRC and Adjoining Countries as defined under Section 1502 of the United States’ Dodd-Frank Wall Street Reform and Consumer Protection Act are deemed a Conflict-Affected Area. "]
[]
[null,"Conflict-Free: A description for Material that is determined by Due Diligence investigation not to have provided financial or other benefit to Illegal Armed Groups or their affiliates operating in a Conflict-Affected Area.  "]
[]
[null,"Conflict-Sensitive:  Consideration of the spectrum of issues that may have, or may in the future, cause and trigger Conflict.  [Reference:  International Alert, Conflict-Sensitive Business Practice: Guidance for Extractive Industries, March 2005, p3].  In the context of the CoC Standard, Conflict-Sensitive sourcing encompasses strong management systems, including policies, risk assessment and mitigation, and complaints mechanisms, for Due Diligence directed towards Conflict issues. [Reference:  OECD Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High-Risk Areas]."]
[]
[null,"Conformance: The Member’s policies, systems, procedures and processes perform in a manner that is conformant with the Standard."]
[]
[null,"Control: Control by an Entity consists of:"]
[null,"1.       Direct or indirect ownership, or Control (alone or pursuant to an agreement with other entities) of 50% or more of the voting equities/rights (or equivalent) of the controlled business or Facility; and/or"]
[null,"2.       Direct or indirect (including pursuant to an agreement with other entities) power to remove, nominate or appoint at least half of the members of the Board of the directors or management (or equivalent of the controlled business or Facility; and/or"]
[null,"3.       Day-to-day or executive management of the controlled business or Facility; or"]
[null,"4.       Any legally recognised concept of ‘Control’ analogous to those described in (1) to (2) above in a relevant jurisdiction."]
[null,"Although the above defines ‘Control’ in a corporate context, the same principles will apply by analogy to other organisational arrangements, including franchisees, licensees and Control by an individual or a family, where applicable."]
[]
[null,"Critical Breach: A finding or observation, supported by objective evidence, of deliberate falsification of information required to support a conformance rating.  "]
[]
[null,"Custody: The physical possession of CoC Material by an Entity or Outsourcing Contractor for the purposes of producing, processing, trading, manufacturing, packaging, labelling or retailing."]
[]
[null,"Diamond: A natural mineral consisting essentially of pure carbon crystallised with a cubic structure in the isometric system.  "]
[]
[null,"Dodd-Frank Act:  Section 1502 of the United States’ Dodd-Frank Wall Street Reform and Consumer Protection Act.  The Act defines “conflict minerals” as columbite-tantalite (coltan), cassiterite, Gold, wolframite, or their derivatives (tantalum, tin, tungsten and Gold); or any other mineral or its derivates determined by the US Secretary of State to be financing conflict in the DRC and Adjoining Countries.  The Act requires issuers under the US Securities Exchange Act to disclose whether any “conflict minerals” used in their products originated in the DRC and Adjoining Countries."]
[]
[null,"DRC: the Democratic Republic of Congo (DRC)."]
[]
[null,"Due Diligence: Process through which companies, acting reasonably and prudently under the circumstances, conduct inquiry and analysis necessary to make reliable and verifiable determinations about the relevant conditions applying to the production and transportation of Mined Materials from Mining Facilities. Due Diligence includes, where applicable, the application of Know Your Customer systems and procedures. The Due Diligence required under the RJC CoC Standard supports implementation of the OECD Due Diligence Guidance for Responsible Supply Chains from Conflict-Affected and High-Risk Areas."]
[]
[null,"Eligible Material:  Gold, and/or Platinum Group Metals, that is eligible to become CoC Material under the RJC Chain-of-Custody standard.  Eligible Material shall be one of the following types:"]
[null,"-          Eligible Mined: Conflict-Free Material produced by a CoC Certified Entity, or by ASM on the concession of a CoC Certified Entity, or under a Recognised Responsible Mining Standard.  Eligible Mined Gold and Platinum Group Metals may be in the form of unrefined concentrate, impure alloys, or refined metal. Eligible Mined Gold and Platinum Group Metals can also be recovered by a CoC Certified Entity, including a Refiner, as a Mining Byproduct from processing residues (such as slimes) arising from metallurgical processing of other metals not within the RJC’s scope such as copper, lead, zinc or nickel.    "]
[null,"-          Eligible Recycled:  Material recycled by a CoC Certified Entity from Recyclable Materials sourced from suppliers screened according to the CoC Standard’s Know Your Customer requirements to avoid Illegitimate Sources.  Recyclable Gold and Platinum Group Metals are those that have been previously refined, such as end-user, post-consumer and investment products Gold and Platinum containing Group Metals, and scrap and waste metals and materials arising during refining and product manufacturing, which are returned to a Refiner or other downstream intermediate processor for recycling.  "]
[null,"-          Eligible Grandfathered:  Existing stocks of Material that existed before the CoC standard came into effect, with a reliable record demonstrating its date of ownership, extraction and/or manufacture.  Gold:  Refined Gold that was refined before 1 January, 2012.  Grandfathered Gold may be in the form of bars, ingots, coins, or similar, or within a sealed container (e.g. grain, powder or sponge), with the refining date either permanently shown with the Mark of a Refiner or Government Mint, or verified by the Refiner in accordance with a serial number or other permanent physical mark or characteristic, or determined though bank depository or inventory records.  In the case of Refiners on the LBMA “Former Melters and Assayers of Good Delivery Gold Bars” list that ceased operating before 1 January, 2012, if the refining date is not permanently shown, it may be inferred from that Refiner’s Mark on the Gold.  Platinum Group Metals:  Refined Platinum Group Metals minted before 1 January, 2012.  Grandfathered Platinum Group Metals may be in the form of bars, ingots, coins, plates or similar, or within a sealed container (e.g. grain, powder or sponge), bearing the Mark of a Refiner or Government Mint, with the refining date permanently shown with the Mark or verified by the Refiner, or determined through bank depository or inventory records. "]
[]
[null,"Eligible Material Declaration: Declaration of Eligible Material made by a CoC Entity in a CoC Transfer Document to initiate a Chain-of-Custody."]
[]
[null,"Entity: A business or similar responsible for implementation of the CoC Standard."]
[]
[null,"Facility: Premises or operations with Custody of Eligible or CoC Material."]
[]
[null,"Gold: A rare yellow metallic element with the chemical symbol ‘Au’ and the atomic number 79."]
[]
[null,"Government Mint: A government controlled facility where official currency and Precious Metals bars, ingots, coins or similar are minted."]
[]
[null,"Grandfathered Material:  See Eligible Material definition."]
[]
[null,"Illegal Armed Group:  Armed group, including a public or private security force, that illegally controls mine sites, transportation routes and/or points where minerals are traded, and/or illegally taxes or extorts money or minerals at mine sites, points of access to mine sites, along transportation routes, or at points where minerals are traded; and/or illegally taxes or extorts intermediaries, export companies or international traders; and/or is engaged or complicit in Conflict.  Illegal activity means activity that violates a country’s sovereignty, or its laws and regulations, or international law.  “Direct or indirect support” for Illegal Armed Groups does not refer to legally required forms of support, including legal taxes, fees, and/or royalties that companies pay to the government of a country in which they operate. [References:  OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, 2010; UN Panel of Experts on the Illegal Exploitation of Natural Resources and Other Forms of Wealth of the Democratic Republic of the Congo, Letter 12 April, 2001]."]
[]
[null,"Illegitimate Sources:  Sources of Material that are contrary to applicable law, and/or involved with illegal mining, funding of conflict, money-laundering, funding of terrorism, or proceeds of crime."]
[]
[null,"Internal CoC Transfer Document: A CoC Transfer Document where the issuer and recipient are within the same Certification Scope.  An Internal CoC Transfer Document shall be issued and recorded when making an Eligible Material Declaration for Material that will be mixed with existing CoC Material prior to the mixed Material being transferred to another Entity."]
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[null,"Jewellery:  An adornment made of Precious Metals (including Gold and/or Platinum Group Metals) and/or set with gemstones.  Jewellery includes, but is not limited to, bracelets, rings, necklaces, earrings and watches."]
[]
[null,"Jewellery Product:  Semi-finished or finished Jewellery or components."]
[]
[null,"Know Your Customer (KYC): Principles established to combat money laundering and finance of terrorism.  KYC principles require businesses to establish the identity of all organisations with which they deal, have a clear understanding of their business relationships and have a reasonable ability to identify and react to transaction patterns appearing out of the ordinary or suspicious."]
[]
[null,"Legitimate:  Not from Illegitimate Sources."]
[]
[null,"London Bullion Market Association (LBMA) London Good Delivery Identification: A unique serial number assigned by an LBMA Gold Refiner to a 400 troy ounce Gold bar as part of its Mark.  "]
[]
[null,"Major Non-Conformance: The Member’s policies, systems, procedures and processes perform in a manner that is not conformant with the Standard, due to the total absence of implementation of a provision; or a systemic failure or total lack of required controls; or a group of related, repetitive and persistent Minor Non-Conformances indicating inadequate implementation."]
[]
[null,"Management System: Management processes and documentation that collectively prove a systematic framework for ensuring that tasks are performed correctly, consistently and effectively to achieve the desired outcomes, and to drive continual improvement in performance."]
[]
[null,"Mark: A trademarked symbol of an Entity.  The Mark of a Refiner or Mint is often stamped into the surface of a Gold or Platinum Group Metals bar, ingot, coin or similar, or permanently affixed to a sealed container.  A Mark is often accompanied by a serial number and/or date, which, in combination, can verify the year the Precious Metal was produced or minted."]
[]
[null,"Material:  Gold and/or Platinum Group Metals.  Materials currently outside the RJC’s scope, such as other metals in alloys, plating or coatings, and other precious stones, are not covered under the RJC CoC Standard."]
[]
[null,"Member:  Any business that:"]
[null,"(i) is actively involved for commercial reasons in the Diamond and/or Gold and/or Platinum Group Metals Jewellery supply chain; and"]
[null,"(ii) is exempt from the role of consultant, advisor or any other similar entity; and"]
[null,"(iii) commits to the prevailing RJC Principles and Code of Practices on business ethics, social, human rights and environmental performance and management systems; and"]
[null,"(iv) commits to a Verification Assessment by an Accredited Auditor against the RJC Principles and Code of Practices in accordance with the requirements of the RJC; and"]
[null,"(v) undertakes the payment of the annual RJC commercial membership fee;"]
[null,"is eligible to become a RJC Commercial Member."]
[null,"The Member may consist of one or more Entities and/or Facilities.  In RJC Standards, the term ‘Member’ refers specifically to RJC Commercial Members."]
[]
[null,"Mined Material: Material that is produced by a Mining Facility.  Also see Eligible Material definitions."]
[]
[null,"Mining Facility: A Facility that extracts Gold or Platinum Group Metals, or minerals containing saleable quantities of Gold or Platinum Group Metals, from the earth.  "]
[]
[null,"Mining Byproduct: Mined Gold or Platinum Group Metals that are produced from other metal mining, e.g., from copper sulphide ore, in which Precious Metals may be a trace constituent.  When Mined Precious Metals are a byproduct, the other metal is processed and refined first, and the Precious Metal is then extracted and refined from the final residue of the first metal, such as a copper electrolytic cell slime.  [Reference:  OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas – Supplement on Gold]. "]
[]
[null,"Minor Non-Conformance: The Member’s policies, systems, procedures and processes perform in a manner that is not wholly conformant with the Standard, due to an isolated lapse of either performance, discipline and control which does not lead to a Major Non-Conformance."]
[]
[null,"Outsourcing Contractor: An individual, company or other business that takes Custody of Material from an Entity for the purpose of processing or manufacturing the Material for that Entity. Outsourcing Contractors that are not themselves CoC Certified must be included in the Entity’s CoC Certification Scope. "]
[]
[null,"Platinum Group Metals:  Precious metallic elements that have similar physical and chemical properties and tend to occur together in the same mineral deposits.  Platinum Group Metals covered under this Standard are:"]
[null,"-          Rhodium: chemical symbol ‘Rh’, atomic number 45;"]
[null,"-          Palladium:  chemical symbol ‘Pd’, atomic number 46;"]
[null,"-          Platinum: chemical symbol ‘Pt’, atomic number 78.  "]
[]
[null,"Precious Metals: Collective term for Gold and Platinum Group Metals."]
[]
[null,"Provenance: Where the Chain-of-Custody for Eligible Material or CoC Material specifically or collectively started.  "]
[null,"Recognised Responsible Mining Standard: A third party standard for responsible mining practices deemed by the RJC, through a process of formal review and opportunity for stakeholder comment, to be comparable to the RJC Code of Practices.  Information will be maintained at www.responsiblejewellery.com/chain-of-custody.html "]
[]
[null,"Recyclable Materials: Used Materials that have been collected for recycling.  See Eligible Materials definitions for more information on criteria."]
[]
[null,"Recycled Material: See Eligible Material definition."]
[]
[null,"Refiner:  An Entity engaged in separating and purifying Gold and/or Platinum Group Metals to a commercial market quality."]
[]
[null,"RJC:  Responsible Jewellery Council."]
[]
[null,"Service Company:  A company that takes Custody of, and provides services on Eligible and/or CoC Material owned by an Entity, maintaining segregation on behalf of their clients as an essential part of their service, and not physically changing Material in their Custody.  Service Companies include grading labs, assayers, appraisers, security and transportation companies.  Service Companies are not included in the Certification Scope of an Entity."]
[]
[null,"Standard: The RJC Chain-of-Custody Certification Standard."]
[]
[null,"Surveillance Audit:  A CoC Surveillance Audit verifies that Chain-of-Custody Management Systems continue to conform with the CoC Standard.  The CoC Surveillance Audit must be conducted within 12 - 18 months following granting of CoC Certification. The scope of the CoC Surveillance Audit must include a check of samples of CoC Transfer Documents, any claims being made to consumers, and associated records, and also verify progress or completion of any corrective actions for non-conformances found during the Certification Audit. "]

{"sheet":"Contractor Contact Details","index":5,"n_rows":23,"n_cols":8,"rows_kept":23,"cut":false,"hidden":false,"merged":[[0,1,0,5],[1,2,1,7],[9,2,9,3],[6,2,6,3],[3,2,3,3],[4,2,4,3],[7,2,7,3],[8,2,8,3],[5,2,5,3],[0,6,0,8],[8,4,8,8],[9,4,9,8],[14,2,14,3],[10,2,10,3],[13,2,13,3],[11,2,11,3],[12,2,12,3],[12,4,12,8],[13,4,13,8],[14,4,14,8],[10,4,10,8],[11,4,11,8],[16,3,16,4],[16,5,16,6],[16,7,16,8],[15,3,15,4],[15,5,15,6],[15,7,15,8],[19,5,19,6],[19,7,19,8],[20,3,20,4],[20,5,20,6],[21,5,21,6],[21,7,21,8],[20,7,20,8],[21,3,21,4],[19,3,19,4],[44,1,44,8],[37,1,37,8],[38,1,38,8],[40,1,40,8],[41,1,41,8],[17,3,17,4],[17,5,17,6],[17,7,17,8],[18,3,18,4],[18,5,18,6],[18,7,18,8],[45,1,45,8],[2,4,2,8],[3,4,3,8],[4,4,4,8],[5,4,5,8],[6,4,6,8],[7,4,7,8],[39,1,39,8],[42,1,42,8],[43,1,43,8],[36,1,36,8],[2,2,2,3],[22,1,22,8],[24,1,24,8],[35,1,35,8],[23,1,23,8]]}
[null,"Part 1 Outsourcing Contractor contact details (Please complete relevant sections in the white cells.)"]
[null,"Contractor Name"]
[null,"Head Office ","Address"]
[null,null,"City"]
[null,null,"State/ province "]
[null,null,"Country"]
[null,null,"Telephone number"]
[null,null,"Fax number"]
[null,null,"E-mail address (if applicable)"]
[null,"Name of Main CoC Contact","Name"]
[null,null,"Position"]
[null,null,"Address"]
[null,null,"Telephone number"]
[null,null,"Fax number"]
[null,null,"E-mail address(if applicable)"]
[null,"Name and position of person(s) participating in the Assessment ","Person","Name",null,"Position",null,"Contact (Phone or Email) "]
[null,null,1]
[null,"*NOTE: Person 1 should be the main contact person for in the event of a query or follow up",2]
[null,null,3]
[null,null,4]
[null,null,5]
[null,null,6]
[null,"Other information or comments"]

{"sheet":"Transferred Materials","index":6,"n_rows":28,"n_cols":20,"rows_kept":28,"cut":false,"hidden":false,"merged":[[25,2,25,3],[25,6,25,7],[25,8,25,10],[26,2,26,3],[26,6,26,7],[26,8,26,10],[23,2,23,3],[23,6,23,7],[23,8,23,10],[24,2,24,3],[24,6,24,7],[24,8,24,10],[21,2,21,3],[21,6,21,7],[21,8,21,10],[22,2,22,3],[22,6,22,7],[22,8,22,10],[19,2,19,3],[19,6,19,7],[19,8,19,10],[20,2,20,3],[20,6,20,7],[20,8,20,10],[17,2,17,3],[17,6,17,7],[17,8,17,10],[18,2,18,3],[18,6,18,7],[18,8,18,10],[15,8,16,10],[1,1,1,9],[5,1,5,5],[6,1,6,5],[7,1,7,5],[8,1,8,5],[9,1,9,5],[10,1,10,5],[15,1,16,1],[15,2,16,3],[15,4,15,5],[15,6,16,7]]}
[null,"Part 2 Information about the Material(s) involved in Custody Transfers "]
[null,"Please list the details associated with the CoC Material(s) involved in CoC transfers handled by the Outsourcing Contractor."]
[]
[null,"2.1 Assessment Context: Please complete relevant sections in the white cells. Information used in this section is used to tailor the assessment toolkit.",null,null,null,null,null,null,null,null,null,null,null,null,null,"REF",null,"Miners","Refiners","R,TorM"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,true,null,null,false]
[null,"Material",null,null,null,null,"Gold","Platinum","Palladium","Rhodium",null,null,null,null,null,true]
[null,"Type of CoC Material handled by the Outsourcing Contractor. (See Glossary for definitions)",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,true,null,false,false,false]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,true]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,true]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,true]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,true]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,"2.2 Outsourcing Contractors: Please enter details about the Entity's Outsourcing Contractors.",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,"Outsourcing Contractor Facilities","Location (Address/City/Country)",null,"Number of:",null,"Description of Outsourcing Contractors' Business",null,"Description of activity being performed by the  Outsourcing Contractor for the transferred CoC Materials.",null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,"Employees","Contractors",null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$error":"#REF!"}]

{"sheet":"Assessment Questions","index":7,"n_rows":22,"n_cols":18,"rows_kept":22,"cut":false,"hidden":false,"merged":[[8,6,9,6],[8,7,9,7],[10,4,13,4],[10,5,13,5],[20,4,21,4],[20,5,21,5],[18,6,19,6],[18,7,19,7],[20,6,21,6],[20,7,21,7],[14,10,17,10],[18,10,21,10],[14,3,17,3],[14,14,17,14],[16,13,17,13],[18,3,21,3],[18,14,21,14],[20,13,21,13],[14,6,17,6],[14,7,17,7],[14,4,17,4],[14,5,17,5],[18,4,19,4],[18,5,19,5],[6,3,9,3],[6,14,9,14],[8,13,9,13],[10,3,13,3],[10,14,13,14],[12,13,13,13],[10,6,13,6],[10,7,13,7],[6,10,9,10],[10,10,13,10],[6,4,7,4],[6,5,7,5],[8,4,9,4],[8,5,9,5],[6,6,7,6],[6,7,7,7],[2,1,2,3],[2,4,2,11],[4,3,5,3],[4,1,5,1],[4,2,5,2],[4,13,5,13],[4,14,5,14],[4,4,5,4],[4,8,4,9],[4,11,4,12],[4,10,5,10],[4,6,4,7],[4,5,5,5]]}
[null,"Part 2 Assessment Questions for Provision 2.2 - to be completed by the Outsourcing Contractor"]
[null,"(Please complete relevant sections in the white cells and use the drop menu in the blue shaded cells.)"]
[null,"Name (Facility or other reference):",null,null,null,null,null,null,null,null,null,null,"Date:"]
[null,null,{"$f":"Calculation!AH18","v":0},"Provisions rated from a total of:",{"$f":"Calculation!$AF$18","v":4},"relevant to the CoC Certification Scope.",null,null,null,null,null,null,null,null,null,null,null,"Yes"]
[null,"Chain of Custody Standard","#","Provision","#","Assessment Questions","Types of evidence",null,"Objective evidence in support of findings",null,"Observations and findings","Responsibility",null,"Performance rating (Please select from drop menu)","Comments / Notes",null,null,"Yes"]
[null,null,null,null,null,null,"Self Assessment or Certification Audit","Surveillance or Re-Certification Audit","Type","Details:",null,"Location","Details:",null,null,null,null,"Yes"]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},2.1,"Each point where there is an opportunity for Eligible and/or CoC Material in the Custody of an Entity to become mixed with non-Eligible and/or non-CoC Material shall be identified and controls put in place to ensure segregation.","i","Determine that the Entity has identified all points where there is an opportunity for Eligible and/or CoC Material in the Custody of an Entity to become mixed with non-Eligible and/or non-CoC Material.","All points of possible mixing have been identified.\n\nExamples of evidence:\n• Procedure for identification and documentation of all points\n• Interviews with management/ responsible persons\n• Observation of possible mixing points.","All points of possible mixing have been identified.\n\nExample of evidence:\n• Procedure for identification and documentation of all points\n• Evidence that the procedure has been applied during operation \n• Interviews with management/ responsible persons\n• Observation of possible mixing points. "," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U7","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N7=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U8","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,"ii","Verify that there are controls put in place to ensure segregation of Eligible and/or CoC Material from non-Eligible and/or non-CoC Material.","Controls are in place to ensure segregation.\n\nExamples of evidence:\n• Documentation of relevant controls \n• Specifications of segregation systems (electronic or paper based)\n• Policies and procedures\n• Job descriptions\n• Training system\n• Risk assessment\n• Interviews\n• Observation of possible mixing points and controls to mitigate risks.","Controls to ensure segregation are in place and are operating in conformance with the provision.\n\nExamples of evidence:\n• Documentation of relevant controls \n• Specifications of segregation systems (electronic or paper based) policies and procedures\n• Job descriptions\n• Training system\n• Risk assessment\n• Interviews\n• Reconciliations (ref question 2.2)\n• Observation of possible mixing points and controls to mitigate risks."," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U9","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U10","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},2.2000000000000002,"The Entity’s internal systems shall be able to reconcile the total weight of Eligible and/or CoC Material for which it has Custody with movements in and out of the inventory over a given time period.  If the Entity has Custody of Jewellery Products containing CoC Material, reconciliation may be by item count rather than weight.","iii","Determine that the total weight or count* of Eligible and/or CoC Material for which the entity has Custody can be reconciled with movements in and out of the inventory over a given time period. (*Note that if the Entity has Custody of Jewellery Products containing CoC Material, then Entity may use count rather than weight as the unit of measure.)","System is in place to enable movements of CoC Material in and out of inventory to be reconciled over a given time period.\n\nExamples of evidence:\n• Specifications of reconciliation systems (electronic or paper based) Training system\n• Reconciliation records\n• Demonstration of reconciliation process\n• Interviews.","System is in place and operating to enable movements of CoC Material in and out of inventory to be reconciled over a given time period.\n\nExamples of evidence:\n• Software specifications\n• Training system\n• Reconciliation records\n• Demonstration of reconciliation process\n• Interviews."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U11","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N11=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U12","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U13","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U14","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},2.2999999999999998,"If the Entity issues a CoC Transfer Document for CoC Material identified as having a certain Provenance or other characteristic, the Entity’s internal systems shall ensure that the requirements for segregation and reconciliation as set out in provisions 2.1 and 2.2 apply to support the segregation of that CoC Material.","iv","If the Entity intends to issue a CoC Transfer Document for CoC Material identified as having a certain Provenance or other characteristic, verify that the Entity has a system in place to ensure that the requirements for segregation and reconciliation as set out in provisions 2.1 and 2.2 apply to that CoC Material.","System is in place for segregation and reconciliation of such CoC Material, if applicable.\n\nExamples of evidence:\n• All points where mixing may occur of materials of different Provenance have been identified and documented\n• Documentation of relevant controls \n• Policies and procedures\n• Job descriptions\n• Interviews with relevant personnel\n• Training system\n• Risk assessment\n• Training system\n• Results of system tests and reviews.","System is in place and performing in conformance with the provision for segregation and reconciliation of such CoC Material, if applicable.\n\nExamples of evidence:\n• All points where mixing may occur of materials of different Provenance have been identified and documented\n• Documentation of relevant controls \n• Policies and procedures\n• Job descriptions\n• Interviews with relevant personnel\n• Training system\n• Risk assessment\n• Training system\n• Results of system tests and reviews."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U15","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N15=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U16","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U17","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U18","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},2.4,"The Entity’s internal systems shall verify and document that the contents of each shipment of CoC Material received from, and/or dispatched to other Certified Entities, Outsourcing Contractors or Service Companies are accurately described by the applicable CoC Transfer Document for each such shipment.  If an error is discovered after CoC Material has been shipped, the Entity and the other party shall document the error and the agreed steps taken to correct it.","v","Confirm that the Entity’s internal systems verify and document that the contents of each shipment of CoC Material received from, and/or dispatched to other Certified Entities, Outsourcing Contractors or Service Companies are accurately described by the applicable CoC Transfer Document for each such shipment.","System is in place to ensure shipments will be verified and documented.\n\nExamples of evidence:\n• Procedures and controls\n• Training\n• Demonstrations of steps that would be taken.","System to verify and document all shipments is in place and performing in conformance with the provision.\n\nExamples of evidence:\n• Procedures are being followed and controls are effective\n• Sampling of CoC Transfer Documents and other records\n• Physical inspection of CoC material on site and reconciliation with CoC Transfer Documents\n• Interviews."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U19","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N19=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U20","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,"vi","Determine that the Entity has a system in place to document errors discovered after CoC Material has been shipped and that the system incorporates corrective actions involving other parties affected by the error.","System is in place to document and correct errors.\n\nExamples of evidence:\n• Procedures and/or process description.\n• Software specifications\n• Demonstration of steps that would be taken.","System to document and correct errors is in place and performing in conformance with the provision.\n\nExamples of evidence:\n• Procedures and/or process description\n• Software specifications\n• Observation of controls in place including evidence that steps that have been taken to document and correct errors, if any."," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U21","v":"Yes"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U22","v":"Yes"}]

{"sheet":"Summary of Findings","index":8,"n_rows":14,"n_cols":9,"rows_kept":14,"cut":false,"hidden":false,"merged":[]}
[null,"Part 3b Summary of Assessment Findings"]
[]
[null,null,{"$f":"Calculation!AF6","v":"# Relevant Provisions"},{"$f":"Calculation!AH6","v":"# Completed Provisions"},{"$f":"Calculation!AI6","v":"% Completed  Provisions"},{"$f":"Calculation!AJ6","v":"# Conformances"},{"$f":"Calculation!AK6","v":"# Minor Non-Conformances"},{"$f":"Calculation!AL6","v":"# Major Non-Conformances"},{"$f":"Calculation!AM6","v":"# Not Applicable"}]
[null,{"$f":"Calculation!AE7","v":"1    Management System and Responsibilities"},{"$f":"Calculation!AF7","v":0},{"$f":"Calculation!AH7","v":"NA"},{"$f":"Calculation!AI7","v":"NA"},{"$f":"Calculation!AJ7","v":"NA"},{"$f":"Calculation!AK7","v":"NA"},{"$f":"Calculation!AL7","v":"NA"},{"$f":"Calculation!AM7","v":"NA"}]
[null,{"$f":"Calculation!AE8","v":"2    Internal Material Controls"},{"$f":"Calculation!AF8","v":4},{"$f":"Calculation!AH8","v":0},{"$f":"Calculation!AI8","v":0},{"$f":"Calculation!AJ8","v":"NA"},{"$f":"Calculation!AK8","v":"NA"},{"$f":"Calculation!AL8","v":"NA"},{"$f":"Calculation!AM8","v":"NA"}]
[null,{"$f":"Calculation!AE9","v":"3    Outsourcing Contractors and Service Companies"},{"$f":"Calculation!AF9","v":0},{"$f":"Calculation!AH9","v":"NA"},{"$f":"Calculation!AI9","v":"NA"},{"$f":"Calculation!AJ9","v":"NA"},{"$f":"Calculation!AK9","v":"NA"},{"$f":"Calculation!AL9","v":"NA"},{"$f":"Calculation!AM9","v":"NA"}]
[null,{"$f":"Calculation!AE10","v":"4    Eligible Mined Materials"},{"$f":"Calculation!AF10","v":0},{"$f":"Calculation!AH10","v":"NA"},{"$f":"Calculation!AI10","v":"NA"},{"$f":"Calculation!AJ10","v":"NA"},{"$f":"Calculation!AK10","v":"NA"},{"$f":"Calculation!AL10","v":"NA"},{"$f":"Calculation!AM10","v":"NA"}]
[null,{"$f":"Calculation!AE11","v":"5    Eligible Recycled Materials"},{"$f":"Calculation!AF11","v":0},{"$f":"Calculation!AH11","v":"NA"},{"$f":"Calculation!AI11","v":"NA"},{"$f":"Calculation!AJ11","v":"NA"},{"$f":"Calculation!AK11","v":"NA"},{"$f":"Calculation!AL11","v":"NA"},{"$f":"Calculation!AM11","v":"NA"}]
[null,{"$f":"Calculation!AE12","v":"6    Eligible Grandfathered Materials"},{"$f":"Calculation!AF12","v":0},{"$f":"Calculation!AH12","v":"NA"},{"$f":"Calculation!AI12","v":"NA"},{"$f":"Calculation!AJ12","v":"NA"},{"$f":"Calculation!AK12","v":"NA"},{"$f":"Calculation!AL12","v":"NA"},{"$f":"Calculation!AM12","v":"NA"}]
[null,{"$f":"Calculation!AE14","v":"7    Eligible Material Declarations"},{"$f":"Calculation!AF14","v":0},{"$f":"Calculation!AH14","v":"NA"},{"$f":"Calculation!AI14","v":"NA"},{"$f":"Calculation!AJ14","v":"NA"},{"$f":"Calculation!AK14","v":"NA"},{"$f":"Calculation!AL14","v":"NA"},{"$f":"Calculation!AM14","v":"NA"}]
[null,{"$f":"Calculation!AE15","v":"8    Chain-of-Custody (CoC) Transfer Documents"},{"$f":"Calculation!AF15","v":0},{"$f":"Calculation!AH15","v":"NA"},{"$f":"Calculation!AI15","v":"NA"},{"$f":"Calculation!AJ15","v":"NA"},{"$f":"Calculation!AK15","v":"NA"},{"$f":"Calculation!AL15","v":"NA"},{"$f":"Calculation!AM15","v":"NA"}]
[null,{"$f":"Calculation!AE16","v":"9    Consumer claims and Intellectual Property"},{"$f":"Calculation!AF16","v":0},{"$f":"Calculation!AH16","v":"NA"},{"$f":"Calculation!AI16","v":"NA"},{"$f":"Calculation!AJ16","v":"NA"},{"$f":"Calculation!AK16","v":"NA"},{"$f":"Calculation!AL16","v":"NA"},{"$f":"Calculation!AM16","v":"NA"}]
[null,{"$f":"Calculation!AE17","v":"10  Sourcing from Conflict-Affected Areas"},{"$f":"Calculation!AF17","v":0},{"$f":"Calculation!AH17","v":"NA"},{"$f":"Calculation!AI17","v":"NA"},{"$f":"Calculation!AJ17","v":"NA"},{"$f":"Calculation!AK17","v":"NA"},{"$f":"Calculation!AL17","v":"NA"},{"$f":"Calculation!AM17","v":"NA"}]
[null,{"$f":"Calculation!AE18","v":"TOTAL"},{"$f":"Calculation!AF18","v":4},{"$f":"Calculation!AH18","v":0},{"$f":"Calculation!AI18","v":0},{"$f":"Calculation!AJ18","v":0},{"$f":"Calculation!AK18","v":0},{"$f":"Calculation!AL18","v":0},{"$f":"Calculation!AM18","v":0}]

{"sheet":"Additional Findings","index":9,"n_rows":52,"n_cols":2,"rows_kept":52,"cut":false,"hidden":false,"merged":[[52,1,73,5],[3,1,3,5],[27,1,27,5],[51,1,51,5],[4,1,26,5],[28,1,50,5]]}
[null,"Section 3 - Additional Findings and Suggested Business Improvements"]
[null,"Please provide the following details as appropriate (in the white cells)."]
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[null,"Please note any additional general findings made during the Assessment"]
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[null,"Please Provide Details of Planned Changes to the Entity’s business that may occur in the following three years"]
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[null,"Please Provide Details of Suggested Business Improvements."]

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["Calculation Sheet"]
["Do Not Delete"]
[]
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[null,{"$f":"'Assessment Questions'!B5:B6","v":"Chain of Custody Standard"},{"$f":"'Assessment Questions'!C5:C6","v":"#"},"#",null,"Scope Ticks (From Contact Details Worksheet)",null,null,null,"Applicability Reference Input White Rows Only, See Notes 1)",null,null,null,null,"Applicability Calculation",null,null,null,null,"Applicability",null,"Applicable Completion Count",null,null,null,"Performance Count",null,null,null,null,"Summary of Stats",null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Eligible Materials",null,null,null,null,null,"Applicability",null,"Notes"]
[null,{"$f":"'Assessment Questions'!B6:B6","v":0},"Provision","Question",null,"Miners","Refiners","Retailers, Traders or Manufacturers",null,"Miners","Refiners General","Refiners Special (Regarding CoC TD)","Retailers, Traders or Manufacturers",null,"Miners","Refiners General","Refiners TOTAL (including CoC TD consideration)","Retailers, Traders or Manufacturers",null,"total","Yes or No","Applicable","Completed","Conditional Completion Reference",null,"Conformance","Minor Non-Conformance","Major Non-Conformance","Not Applicable",null,"CoC Standard","# Relevant Provisions","# Incomplete Provisions","# Completed Provisions","% Completed  Provisions","# Conformances","# Minor Non-Conformances","# Major Non-Conformances","# Not Applicable",null,null,null,null,null,null,null,"Gold","Platinum","Palladium","Rhodium"]
[null,{"$f":"'Assessment Questions'!B7","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C7","v":2.1},{"$f":"IF('Assessment Questions'!E7=\"\",0,1)","v":1},null,{"$f":"#REF!","v":{"$error":"#REF!"}},{"$f":"#REF!","v":{"$error":"#REF!"}},{"$f":"#REF!","v":{"$error":"#REF!"}},"x","R","R","NTD","R",null,{"$f":"IF(J7=\"R\",TRUE,IF(AND(J7=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J7=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J7=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K7=\"R\",TRUE,IF(AND(K7=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K7=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K7=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(OR($AZ$18=TRUE,L7=\"R\"),P7,IF(AND($AZ$18=TRUE,L7=\"R\"),TRUE,FALSE))","v":{"$error":"#REF!"}},{"$f":"IF(M7=\"R\",TRUE,IF(AND(M7=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M7=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M7=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,{"$f":"IF(T7<1,\"No\",\"Yes\")","v":"Yes"},{"$f":"IF(U7=\"Yes\",1,0)","v":1},{"$f":"IF('Assessment Questions'!N7=\"\",1,0)","v":1},{"$f":"V7*W7","v":1},null,{"$f":"IF('Assessment Questions'!$N7=Z$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N7=AA$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N7=AB$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N7=AC$6,1,0)","v":0},null,"1    Management System and Responsibilities",{"$f":"SUMIF($B$7:$B$22,$AE7,$V$7:$V$22)","v":0},{"$f":"IF(AF7=0,\"NA\",SUMIF($B$7:$B$22,$AE7,$X$7:$X$22))","v":"NA"},{"$f":"IF(AF7=0,\"NA\", AF7-AG7)","v":"NA"},{"$f":"IF(AF7=0,\"NA\",AH7/AF7)","v":"NA"},{"$f":"IF($AF7=0,\"NA\",IF($AI7=0,\"NA\",SUMIF($B$7:$B$22,$AE7,Z7:Z22)))","v":"NA"},{"$f":"IF($AF7=0,\"NA\",IF($AI7=0,\"NA\",SUMIF($B$7:$B$22,$AE7,AA7:AA22)))","v":"NA"},{"$f":"IF($AF7=0,\"NA\",IF($AI7=0,\"NA\",SUMIF($B$7:$B$22,$AE7,AB7:AB22)))","v":"NA"},{"$f":"IF($AF7=0,\"NA\",IF($AI7=0,\"NA\",SUMIF($B$7:$B$22,$AE7,AC7:AC22)))","v":"NA"},null,null,null,null,null,null,"Mined",false,false,false,false,null,{"$f":"IF(OR(AU7=TRUE,AV7=TRUE,AW7=TRUE,AX7=TRUE),TRUE)","v":false}]
[null,{"$f":"'Assessment Questions'!B8","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C8","v":0},{"$f":"IF('Assessment Questions'!E8=\"\",0,1)","v":0},null,{"$f":"F7","v":{"$error":"#REF!"}},{"$f":"G7","v":{"$error":"#REF!"}},{"$f":"H7","v":{"$error":"#REF!"}},null,{"$f":"J7","v":"R"},"R",{"$f":"L7","v":"NTD"},"R",null,{"$f":"IF(J8=\"R\",TRUE,IF(AND(J8=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J8=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J8=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K8=\"R\",TRUE,IF(AND(K8=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K8=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K8=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M8=\"R\",TRUE,IF(AND(M8=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M8=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M8=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0,null,null,null,null,null,null,"2    Internal Material Controls",4,4,0,0,{"$f":"IF($AF8=0,\"NA\",IF($AI8=0,\"NA\",SUMIF($B$7:$B$22,$AE8,Z7:Z23)))","v":"NA"},{"$f":"IF($AF8=0,\"NA\",IF($AI8=0,\"NA\",SUMIF($B$7:$B$22,$AE8,AA7:AA23)))","v":"NA"},{"$f":"IF($AF8=0,\"NA\",IF($AI8=0,\"NA\",SUMIF($B$7:$B$22,$AE8,AB7:AB23)))","v":"NA"},{"$f":"IF($AF8=0,\"NA\",IF($AI8=0,\"NA\",SUMIF($B$7:$B$22,$AE8,AC7:AC23)))","v":"NA"},null,null,null,null,null,null,"Mining By-product",false,false,false,false,null,false]
[null,{"$f":"'Assessment Questions'!B9","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C9","v":0},{"$f":"IF('Assessment Questions'!E9=\"\",0,1)","v":1},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,"R","R","NTD","R",null,{"$f":"IF(J9=\"R\",TRUE,IF(AND(J9=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J9=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J9=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K9=\"R\",TRUE,IF(AND(K9=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K9=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K9=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M9=\"R\",TRUE,IF(AND(M9=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M9=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M9=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0,null,null,null,null,null,null,"3    Outsourcing Contractors and Service Companies",0,"NA","NA","NA",{"$f":"IF($AF9=0,\"NA\",IF($AI9=0,\"NA\",SUMIF($B$7:$B$22,$AE9,Z7:Z24)))","v":"NA"},{"$f":"IF($AF9=0,\"NA\",IF($AI9=0,\"NA\",SUMIF($B$7:$B$22,$AE9,AA7:AA24)))","v":"NA"},{"$f":"IF($AF9=0,\"NA\",IF($AI9=0,\"NA\",SUMIF($B$7:$B$22,$AE9,AB7:AB24)))","v":"NA"},{"$f":"IF($AF9=0,\"NA\",IF($AI9=0,\"NA\",SUMIF($B$7:$B$22,$AE9,AC7:AC24)))","v":"NA"},null,null,null,null,null,null,"Recycled ",false,false,false,false,null,false,null,"IA2 : If Recycled Materials OR Mixed Materials are included in the CoC scope (either is TRUE), then Provision 5 applies for \"Retailers, Traders and Manufacturers\"."]
[null,{"$f":"'Assessment Questions'!B10","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C10","v":0},{"$f":"IF('Assessment Questions'!E10=\"\",0,1)","v":0},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,"R","R","NTD","R",null,{"$f":"IF(J10=\"R\",TRUE,IF(AND(J10=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J10=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J10=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K10=\"R\",TRUE,IF(AND(K10=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K10=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K10=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M10=\"R\",TRUE,IF(AND(M10=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M10=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M10=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0,null,null,null,null,null,null,"4    Eligible Mined Materials",0,"NA","NA","NA",{"$f":"IF($AF10=0,\"NA\",IF($AI10=0,\"NA\",SUMIF($B$7:$B$22,$AE10,Z7:Z25)))","v":"NA"},{"$f":"IF($AF10=0,\"NA\",IF($AI10=0,\"NA\",SUMIF($B$7:$B$22,$AE10,AA7:AA25)))","v":"NA"},{"$f":"IF($AF10=0,\"NA\",IF($AI10=0,\"NA\",SUMIF($B$7:$B$22,$AE10,AB7:AB25)))","v":"NA"},{"$f":"IF($AF10=0,\"NA\",IF($AI10=0,\"NA\",SUMIF($B$7:$B$22,$AE10,AC7:AC25)))","v":"NA"},null,null,null,null,null,null,"Grandfathered",false,false,false,false,null,false,null,"IA3 : If Grandfathered Materials OR Mixed Materials are included in the CoC scope (either is TRUE), then Provision 6 applies for \"Refiners\" and \"Retailers, Traders and Manufacturers\"."]
[null,{"$f":"'Assessment Questions'!B11","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C11","v":2.2000000000000002},{"$f":"IF('Assessment Questions'!E11=\"\",0,1)","v":1},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},"x","R","R","NTD","R",null,{"$f":"IF(J11=\"R\",TRUE,IF(AND(J11=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J11=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J11=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K11=\"R\",TRUE,IF(AND(K11=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K11=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K11=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M11=\"R\",TRUE,IF(AND(M11=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M11=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M11=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",{"$f":"IF(U11=\"Yes\",1,0)","v":1},{"$f":"IF('Assessment Questions'!N11=\"\",1,0)","v":1},1,null,{"$f":"IF('Assessment Questions'!$N11=Z$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N11=AA$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N11=AB$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N11=AC$6,1,0)","v":0},null,"5    Eligible Recycled Materials",0,"NA","NA","NA",{"$f":"IF($AF11=0,\"NA\",IF($AI11=0,\"NA\",SUMIF($B$7:$B$22,$AE11,Z7:Z26)))","v":"NA"},{"$f":"IF($AF11=0,\"NA\",IF($AI11=0,\"NA\",SUMIF($B$7:$B$22,$AE11,AA7:AA26)))","v":"NA"},{"$f":"IF($AF11=0,\"NA\",IF($AI11=0,\"NA\",SUMIF($B$7:$B$22,$AE11,AB7:AB26)))","v":"NA"},{"$f":"IF($AF11=0,\"NA\",IF($AI11=0,\"NA\",SUMIF($B$7:$B$22,$AE11,AC7:AC26)))","v":"NA"},null,null,null,null,null,null,"Mixed",false,false,false,false,null,false]
[null,{"$f":"'Assessment Questions'!B12","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C12","v":0},{"$f":"IF('Assessment Questions'!E12=\"\",0,1)","v":0},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,{"$f":"J11","v":"R"},"R","NTD","R",null,{"$f":"IF(J12=\"R\",TRUE,IF(AND(J12=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J12=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J12=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K12=\"R\",TRUE,IF(AND(K12=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K12=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K12=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M12=\"R\",TRUE,IF(AND(M12=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M12=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M12=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0,null,null,null,null,null,null,"6    Eligible Grandfathered Materials",0,"NA","NA","NA",{"$f":"IF($AF12=0,\"NA\",IF($AI12=0,\"NA\",SUMIF($B$7:$B$22,$AE12,Z7:Z27)))","v":"NA"},{"$f":"IF($AF12=0,\"NA\",IF($AI12=0,\"NA\",SUMIF($B$7:$B$22,$AE12,AA7:AA27)))","v":"NA"},{"$f":"IF($AF12=0,\"NA\",IF($AI12=0,\"NA\",SUMIF($B$7:$B$22,$AE12,AB7:AB27)))","v":"NA"},{"$f":"IF($AF12=0,\"NA\",IF($AI12=0,\"NA\",SUMIF($B$7:$B$22,$AE12,AC7:AC27)))","v":"NA"},null,null,null,null,null,null,"Sales at Recertification",{"$f":"IF($AZ$22<4,TRUE,IF(#REF!=\"\",FALSE))","v":true},{"$f":"IF($AZ$22<4,TRUE,IF(#REF!=\"\",FALSE))","v":true},{"$f":"IF($AZ$22<4,TRUE,IF(#REF!=\"\",FALSE))","v":true},{"$f":"IF($AZ$22<4,TRUE,IF(#REF!=\"\",FALSE))","v":true},null,true]
[null,{"$f":"'Assessment Questions'!B13","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C13","v":0},{"$f":"IF('Assessment Questions'!E13=\"\",0,1)","v":0},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,"R","R","NTD","R",null,{"$f":"IF(J13=\"R\",TRUE,IF(AND(J13=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J13=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J13=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K13=\"R\",TRUE,IF(AND(K13=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K13=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K13=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M13=\"R\",TRUE,IF(AND(M13=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M13=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M13=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0]
[null,{"$f":"'Assessment Questions'!B14","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C14","v":0},{"$f":"IF('Assessment Questions'!E14=\"\",0,1)","v":0},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,"R","R","NTD","R",null,{"$f":"IF(J14=\"R\",TRUE,IF(AND(J14=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J14=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J14=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K14=\"R\",TRUE,IF(AND(K14=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K14=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K14=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M14=\"R\",TRUE,IF(AND(M14=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M14=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M14=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0,null,null,null,null,null,null,"7    Eligible Material Declarations",{"$f":"SUMIF($B$7:$B$22,$AE14,$V$7:$V$22)","v":0},{"$f":"IF(AF14=0,\"NA\",SUMIF($B$7:$B$22,$AE14,$X$7:$X$22))","v":"NA"},"NA","NA",{"$f":"IF($AF14=0,\"NA\",IF($AI14=0,\"NA\",SUMIF($B$7:$B$22,$AE14,Z7:Z28)))","v":"NA"},{"$f":"IF($AF14=0,\"NA\",IF($AI14=0,\"NA\",SUMIF($B$7:$B$22,$AE14,AA7:AA28)))","v":"NA"},{"$f":"IF($AF14=0,\"NA\",IF($AI14=0,\"NA\",SUMIF($B$7:$B$22,$AE14,AB7:AB28)))","v":"NA"},{"$f":"IF($AF14=0,\"NA\",IF($AI14=0,\"NA\",SUMIF($B$7:$B$22,$AE14,AC7:AC28)))","v":"NA"},null,null,null,null,null,null,"CoC Scope Questions",null,null,null,null,null,"Applicability",null,"Notes"]
[null,{"$f":"'Assessment Questions'!B15","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C15","v":2.2999999999999998},{"$f":"IF('Assessment Questions'!E15=\"\",0,1)","v":1},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},"x","R","R","NTD","R",null,{"$f":"IF(J15=\"R\",TRUE,IF(AND(J15=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J15=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J15=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K15=\"R\",TRUE,IF(AND(K15=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K15=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K15=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M15=\"R\",TRUE,IF(AND(M15=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M15=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M15=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",{"$f":"IF(U15=\"Yes\",1,0)","v":1},{"$f":"IF('Assessment Questions'!N15=\"\",1,0)","v":1},1,null,{"$f":"IF('Assessment Questions'!$N15=Z$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N15=AA$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N15=AB$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N15=AC$6,1,0)","v":0},null,"8    Chain-of-Custody (CoC) Transfer Documents",{"$f":"SUMIF($B$7:$B$22,$AE15,$V$7:$V$22)","v":0},{"$f":"IF(AF15=0,\"NA\",SUMIF($B$7:$B$22,$AE15,$X$7:$X$22))","v":"NA"},"NA","NA",{"$f":"IF($AF15=0,\"NA\",IF($AI15=0,\"NA\",SUMIF($B$7:$B$22,$AE15,Z7:Z29)))","v":"NA"},{"$f":"IF($AF15=0,\"NA\",IF($AI15=0,\"NA\",SUMIF($B$7:$B$22,$AE15,AA7:AA29)))","v":"NA"},{"$f":"IF($AF15=0,\"NA\",IF($AI15=0,\"NA\",SUMIF($B$7:$B$22,$AE15,AB7:AB29)))","v":"NA"},{"$f":"IF($AF15=0,\"NA\",IF($AI15=0,\"NA\",SUMIF($B$7:$B$22,$AE15,AC7:AC29)))","v":"NA"},null,null,null,null,null,null,"Outsourcing Contractor",null,null,null,null,null,{"$f":"IF(#REF!=\"Yes\",TRUE)","v":{"$error":"#REF!"}},null,"IA1: If Outsourcing Contractors are used (TRUE), then Provision 3 applies."]
[null,{"$f":"'Assessment Questions'!B16","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C16","v":0},{"$f":"IF('Assessment Questions'!E16=\"\",0,1)","v":0},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,{"$f":"J15","v":"R"},"R","NTD","R",null,{"$f":"IF(J16=\"R\",TRUE,IF(AND(J16=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J16=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J16=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K16=\"R\",TRUE,IF(AND(K16=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K16=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K16=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M16=\"R\",TRUE,IF(AND(M16=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M16=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M16=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0,null,null,null,null,null,null,"9    Consumer claims and Intellectual Property",{"$f":"SUMIF($B$7:$B$22,$AE16,$V$7:$V$22)","v":0},{"$f":"IF(AF16=0,\"NA\",SUMIF($B$7:$B$22,$AE16,$X$7:$X$22))","v":"NA"},"NA","NA",{"$f":"IF($AF16=0,\"NA\",IF($AI16=0,\"NA\",SUMIF($B$7:$B$22,$AE16,Z7:Z30)))","v":"NA"},{"$f":"IF($AF16=0,\"NA\",IF($AI16=0,\"NA\",SUMIF($B$7:$B$22,$AE16,AA7:AA30)))","v":"NA"},{"$f":"IF($AF16=0,\"NA\",IF($AI16=0,\"NA\",SUMIF($B$7:$B$22,$AE16,AB7:AB30)))","v":"NA"},{"$f":"IF($AF16=0,\"NA\",IF($AI16=0,\"NA\",SUMIF($B$7:$B$22,$AE16,AC7:AC30)))","v":"NA"},null,null,null,null,null,null,"Eligible Declarations",null,null,null,null,null,{"$f":"IF(#REF!=\"Yes\",TRUE)","v":{"$error":"#REF!"}},null,"IA4: If Eligible Declarations are made (TRUE), then Provision 7 applies to \"Retailers, Traders and Manufacturers\"."]
[null,{"$f":"'Assessment Questions'!B17","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C17","v":0},{"$f":"IF('Assessment Questions'!E17=\"\",0,1)","v":0},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,"R","R","NTD","R",null,{"$f":"IF(J17=\"R\",TRUE,IF(AND(J17=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J17=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J17=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K17=\"R\",TRUE,IF(AND(K17=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K17=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K17=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M17=\"R\",TRUE,IF(AND(M17=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M17=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M17=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0,null,null,null,null,null,null,"10  Sourcing from Conflict-Affected Areas",{"$f":"SUMIF($B$7:$B$22,$AE17,$V$7:$V$22)","v":0},{"$f":"IF(AF17=0,\"NA\",SUMIF($B$7:$B$22,$AE17,$X$7:$X$22))","v":"NA"},"NA","NA",{"$f":"IF($AF17=0,\"NA\",IF($AI17=0,\"NA\",SUMIF($B$7:$B$22,$AE17,Z7:Z31)))","v":"NA"},{"$f":"IF($AF17=0,\"NA\",IF($AI17=0,\"NA\",SUMIF($B$7:$B$22,$AE17,AA7:AA31)))","v":"NA"},{"$f":"IF($AF17=0,\"NA\",IF($AI17=0,\"NA\",SUMIF($B$7:$B$22,$AE17,AB7:AB31)))","v":"NA"},{"$f":"IF($AF17=0,\"NA\",IF($AI17=0,\"NA\",SUMIF($B$7:$B$22,$AE17,AC7:AC31)))","v":"NA"},null,null,null,null,null,null,"CoC claims to consumers",null,null,null,null,null,{"$f":"IF(#REF!=\"Yes\",TRUE)","v":{"$error":"#REF!"}},null,"IA5: Provisions 1, 4.2, 5 and, 9 and 10 require a response, where applicable."]
[null,{"$f":"'Assessment Questions'!B18","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C18","v":0},{"$f":"IF('Assessment Questions'!E18=\"\",0,1)","v":0},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,"R","R","NTD","R",null,{"$f":"IF(J18=\"R\",TRUE,IF(AND(J18=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J18=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J18=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K18=\"R\",TRUE,IF(AND(K18=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K18=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K18=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M18=\"R\",TRUE,IF(AND(M18=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M18=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M18=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0,null,null,null,null,null,null,"TOTAL",{"$f":"SUM(AF7:AF17)","v":4},{"$f":"SUM(AG7:AG17)","v":4},{"$f":"SUM(AH7:AH17)","v":0},{"$f":"IF(AF18=0,\"NA\",AH18/AF18)","v":0},{"$f":"SUM(AJ7:AJ17)","v":0},{"$f":"SUM(AK7:AK17)","v":0},{"$f":"SUM(AL7:AL17)","v":0},{"$f":"SUM(AM7:AM17)","v":0},null,null,null,null,null,null,"(Refiners Only) Has the Entity issued or intend to issue a CoC Transfer Document?",null,null,null,null,null,{"$f":"IF(#REF!=\"Yes\",TRUE)","v":{"$error":"#REF!"}},null,"NTD: If FALSE, then only Provisions 1, 4.2, 5 and, 9 and 10 require a response, where applicable."]
[null,{"$f":"'Assessment Questions'!B19","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C19","v":2.4},{"$f":"IF('Assessment Questions'!E19=\"\",0,1)","v":1},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},"x","R","R","NTD","R",null,{"$f":"IF(J19=\"R\",TRUE,IF(AND(J19=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J19=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J19=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K19=\"R\",TRUE,IF(AND(K19=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K19=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K19=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M19=\"R\",TRUE,IF(AND(M19=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M19=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M19=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",{"$f":"IF(U19=\"Yes\",1,0)","v":1},{"$f":"IF('Assessment Questions'!N19=\"\",1,0)","v":1},1,null,{"$f":"IF('Assessment Questions'!$N19=Z$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N19=AA$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N19=AB$6,1,0)","v":0},{"$f":"IF('Assessment Questions'!$N19=AC$6,1,0)","v":0},null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"(Miners Only) Has the Entity issued or intend to issue a CoC Transfer Document?",null,null,null,null,null,{"$f":"IF(#REF!=\"Yes\",TRUE)","v":{"$error":"#REF!"}},null,"IA6: If Miners obtain Materials sourced externally from the Entity (TRUE), then Provision 10.2 applies to \"Miners\"."]
[null,{"$f":"'Assessment Questions'!B20","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C20","v":0},{"$f":"IF('Assessment Questions'!E20=\"\",0,1)","v":0},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,{"$f":"J19","v":"R"},"R","NTD","R",null,{"$f":"IF(J20=\"R\",TRUE,IF(AND(J20=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J20=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J20=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K20=\"R\",TRUE,IF(AND(K20=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K20=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K20=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M20=\"R\",TRUE,IF(AND(M20=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M20=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M20=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Material change to the CoC Certification Scope since the last assessment",null,null,null,null,null,{"$f":"IF(#REF!=\"Yes\",TRUE)","v":{"$error":"#REF!"}}]
[null,{"$f":"'Assessment Questions'!B21","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C21","v":0},{"$f":"IF('Assessment Questions'!E21=\"\",0,1)","v":1},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,"R","R","NTD","R",null,{"$f":"IF(J21=\"R\",TRUE,IF(AND(J21=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J21=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J21=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K21=\"R\",TRUE,IF(AND(K21=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K21=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K21=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(OR($AZ$18=TRUE,L21=\"R\"),P21,IF(AND($AZ$18=TRUE,L21=\"R\"),TRUE,FALSE))","v":{"$error":"#REF!"}},{"$f":"IF(M21=\"R\",TRUE,IF(AND(M21=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M21=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M21=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0]
[null,{"$f":"'Assessment Questions'!B22","v":"2    Internal Material Controls"},{"$f":"'Assessment Questions'!C22","v":0},{"$f":"IF('Assessment Questions'!E22=\"\",0,1)","v":0},null,{"$error":"#REF!"},{"$error":"#REF!"},{"$error":"#REF!"},null,"R","R","NTD","R",null,{"$f":"IF(J22=\"R\",TRUE,IF(AND(J22=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(J22=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J22=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K22=\"R\",TRUE,IF(AND(K22=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(K22=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K22=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$error":"#REF!"},{"$f":"IF(M22=\"R\",TRUE,IF(AND(M22=\"IA1\",Calculation!$AZ$15=TRUE),TRUE,IF(AND(M22=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M22=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,1,"Yes",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Assessment Type",null,null,null,null,null,1,null,"Used to determine report expectations"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Self Assessment",1,{"$f":"AT23","v":"Self Assessment"},"Select 'Yes' (from the drop down menu) if changes to the CoC Certification Scope are expected during the  Certification period.","Please provide details of changes to the CoC Certification Scope expected during the Certification period."]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Certification Audit",2,{"$f":"AT24","v":"Certification Audit"},"Select 'Yes' (from the drop down menu) if there have been any material change to the CoC Certification Scope since the Self Assessment.","Please provide details of changes to the CoC Certification Scope since the Self Assessment."]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Surveillance Audit",3,"Surveillance Audit","Select 'Yes' (from the drop down menu) if there have been any material change to the CoC Certification Scope since the previous Audit.","Please provide details of changes to the CoC Certification Scope since the previous Audit."]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Re-certification Audit",4,"Re-certification Audit","Select 'Yes' (from the drop down menu) if there have been any material change to the CoC Certification Scope since the previous Audit.","Please provide details of changes to the CoC Certification Scope since the previous Audit.","Please select (from the drop down menu on your right) your last total annual sales of the CoC Material by type.","Please select (below from the drop down menu) your last total annual sales of the CoC Material by source"]
[]
[]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"CoC Standard Provisions ","Miners ","Refiners","Retailers, Traders or Manufacturers",null,null,"Entity Sector"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"1. Management Systems","Required"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"2. Internal Material Controls ","Required",null,null,null,null,"New Eligible Materials (Please update section 2.1)"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"3. Outsourcing Contractors ","If applicable (IA1)"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"4. Eligible Mined Materials","Required","Not applicable",null,null,null,"New Facilities"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"5. Eligible Recycled Materials ","Not applicable","Required","If applicable (IA2)"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"6. Eligible Grandfathered Materials ","Not applicable","If applicable (IA3)",null,null,null,"New Outsourcing Contractors"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Chain-of-Custody Management","7. Eligible Materials Declarations ","Required",null,"If applicable (IA4)"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"8. CoC Transfer Documents ","Required"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"9. Consumer Claims and IP","If applicable (IA5)"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Systems to Confirm Eligibility of Material ","10.1 Supply chain policy ","Required"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"10.2 Policy non-compliance","If applicable (IA6)","Required"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"10.3 Complaints Mechanism ","Required"]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Issuing Chain-of-Custody Documentation ","10.4 Gold Refiners","Not applicable ","Required","Not applicable "]
[]
[]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Conflict-Sensitive Sourcing "]

{"sheet":"Applicability Reference","index":11,"n_rows":24,"n_cols":7,"rows_kept":24,"cut":false,"hidden":true,"merged":[[3,4,3,6],[3,2,5,2],[9,2,11,2],[9,4,9,5],[10,4,10,6],[11,4,11,6],[12,2,15,2],[12,4,12,6],[13,5,13,6],[14,4,14,6],[4,4,4,6],[5,4,5,6],[6,2,8,2],[6,5,6,6],[8,5,8,6]]}
[]
[]
[null,null,null,"CoC Standard Provisions ","Miners ","Refiners","Retailers, Traders or Manufacturers"]
[null,null,"Chain-of-Custody Management","1. Management Systems","Required"]
[null,null,null,"2. Internal Material Controls ","Required"]
[null,null,null,"3. Outsourcing Contractors ","If applicable (IA1)"]
[null,null,"Systems to Confirm Eligibility of Material ","4. Eligible Mined Materials","Required","Not applicable"]
[null,null,null,"5. Eligible Recycled Materials ","Not applicable","Required","If applicable (IA2)"]
[null,null,null,"6. Eligible Grandfathered Materials ","Not applicable","If applicable (IA3)"]
[null,null,"Issuing Chain-of-Custody Documentation ","7. Eligible Materials Declarations ","Required",null,"If applicable (IA4)"]
[null,null,null,"8. CoC Transfer Documents ","Required"]
[null,null,null,"9. Consumer Claims and IP","If applicable (IA5)"]
[null,null,"Conflict-Sensitive Sourcing ","10.1 Supply chain policy ","Required"]
[null,null,null,"10.2 Policy non-compliance","If applicable (IA6)","Required"]
[null,null,null,"10.3 Complaints Mechanism ","Required"]
[null,null,null,"10.4 Gold Refiners","Not applicable ","Required","Not applicable "]
[]
[]
[null,null,"IA1","Applicable if \"Yes\" is selected for Cell Reference ",null,"CoC Certification Scope'!G12"]
[null,null,"IA2","Applicable if \"Yes\" is selected for Cell Reference ",null,"CoC Certification Scope'!G13"]
[null,null,"IA3","Applicable if \"Yes\" is selected for Cell Reference ",null,"CoC Certification Scope'!G14"]
[null,null,"IA4","Applicable if \"Yes\" is selected for Cell Reference ",null,"CoC Certification Scope'!G15"]
[null,null,"IA5","Applicable if \"Yes\" is selected for Cell Reference ",null,"CoC Certification Scope'!G16"]
[null,null,"IA6","Applicable if \"Yes\" is selected for Cell Reference ",null,"CoC Certification Scope'!G17"]

{"sheet":"Reference","index":12,"n_rows":12,"n_cols":7,"rows_kept":12,"cut":false,"hidden":true,"merged":[]}
["Reference Sheet"]
["Do Not Delete"]
[]
[null,"Evidence_Type_2","Evidence_Type_1","Responsibility","Performance","Yes/No","SalesRange"]
[null," Documentation"," Documentation"," Head office","Conformance","Yes","Less than US$1 million"]
[null," Observation"," Observation"," Divisional/ Business unit","Minor Non-Conformance","No","US$1 million - US$5million"]
[null," Testimonial"," Testimonial"," Facility","Major Non-Conformance",null,"US$5 million - US$10million"]
[null,"Documentation and Observation","None"," None","Not Applicable",null,"US$10 million - US$50million"]
[null,"Documentation and Testimonial",null,"Details:","Reason: ",null,"US$50 million - US$100million"]
[null,"Observation and Testimonial",null,null,null,null,"US$100 million - US$500million"]
[null,"Documentation, Observation and Testimonial",null,null,null,null,"Greater than US$500 million"]
[null,"None"]

{"sheet":"Revision Status","index":13,"n_rows":12,"n_cols":3,"rows_kept":12,"cut":false,"hidden":true,"merged":[[5,0,5,2]]}
[]
[]
["Revision Status Sheet"]
["Do Not Delete"]
[]
["Chain Of Custody Outsource Contractor Assessment Form (T008_2012)"]
["Revision Status"]
[]
[]
["Date","Revision","Comment"]
["2012-02-01","A","First Draft for Comment"]
["2012-03-05",0,"Issue as Revision 0"]