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[null,null,null,null,null,null,null,null,"Chain Of Custody Assessment Toolkit (T008_2012) Revision 0.6"]
[]
[null,"RJC Chain of Custody Assessment Toolkit"]
[null,"Chain Of Custody Assessment Toolkit (T008_2012)"]
[]
[null,"MENU"]
[]
[null,"Useful Information","About the Toolkit"]
[null,null,"Guidance for Using the Toolkit"]
[null,null,"Conducting the Assessments"]
[null,null,"Glossary of Terms"]
[null,null,"Revision Status"]
[]
[null,"Assessment Data","Part 1:  Entity Contact Details"]
[null,null,"Part 2:  CoC Certification Scope"]
[null,null,"Part 3a: Assessment Questions"]
[null,null,"Part 3b: Summary of Findings"]
[null,null,"Part 3c: Additional Findings"]
[null,null,"Part 4: Certification Audit Request"]
[]
[null,"Audit Reports","Part 5a: Detailed Report to Entity"]
[null,null,"Part 5b: Summary Report to RJC"]
[null,null,"Part 5c: Granting of RJC CoC Certification and Information Published on RJC Website"]
[]
[null,"Templates","CoC Transfer Document"]
[]
[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 Outsourcing Contractor Assessment Form (T009_2012)"]
[null,null,"RJC CoC Assessment 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 Assessment Toolkit [Document reference - T007_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 Toolkit"]
[null,"The RJC CoC Assessment Toolkit (the Toolkit)  contains instructions for Entities and Auditors on how to complete Self Assessments (by Entities) and Certification, Surveillance and Re-Certification Audits (by RJC Accredited Auditors)."]
[]
[null,"The Toolkit 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)."]
[]
[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 Toolkit  and other documents or information sources referenced in the Toolkit  Use of the Toolkit 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,"Use of the Toolkit by non-members is entirely voluntary and is neither intended nor does it create, establish, or recognise any legally enforceable obligations or rights against the RJC and/or its Members or signatories. The Toolkit does not create, establish, or recognise any legally enforceable obligations of the RJC and/or its member or signatories to non-members.   Non-members shall have no legal cause of action against the RJC and/or its members or signatories for failure to comply with the Toolkit."]
[]
[null,"D. Status and Effective Date"]
[null,"This is Revision 1.0 of the RJC Chain-of-Custody Assessment Toolkit which was approved by the RJC Board in March 2012 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:"]
[]
[]
[]
[]
[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:"]
[]
[]
[]
[]
[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 web 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: "]
[]
[]
[]
[null,"Option buttons are also used to make selections.  Like checkboxes, these are used to identify tailor the Assessment Toolkit, however, only one option can be selected. An example checkbox screenshot is shown below: "]
[]
[]
[null,"Buttons are used to update the Assessment Toolkit.  For instance, once Part 2.1 of the CoC Certification Scope is completed, it is important that  the click the button immediately below Part 2.1 as this updates the remainder of that worksheet, as well as the Assessment Questions Worksheet.   Buttons are also used in much 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 Toolkit:"]
[null,"Part 1:  Entity Contact Details"]
[null,"Part 2:  CoC Certification Scope"]
[null,"Part 3a: Assessment Questions"]
[null,"Part 3b: Summary of Findings"]
[null,"Part 3c: Additional Findings"]
[null,"Part 4: Certification Audit Request"]
[null,"Part 5: Reports and Statement"]
[]
[null,"Part 1: Entity 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:  CoC Certification Scope"]
[null,"In this section the Entity must provide information about the CoC Certification Scope.  This includes:"]
[null,"Entity type (Miner, Refiner and/or Trader, Manufacturer and/or Retailer).  More than one sector can be selected."]
[null,"Type of Assessment being conducted (Self Assessment by the Entity, or either a Certification Audit, Surveillance Audit or Recertification Audit by an RJC Accredited Auditor). Note that only one option can be selected."]
[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,"Specific information about the CoC Certification scope including whether or not:"]
[null,"Outsourcing Contractors will have custody of the Entity's CoC/Eligible Material during the Certification Period."]
[null,"Eligible declarations will be made during the certification period."]
[null,"Consumer claims about CoC  Materials will be made during the certification period."]
[null,"A refiner (if applicable) intends to issue CoC Transfer Documents for CoC Material.  Note that if a Refiners has not issued a CoC Transfer Document, it can still can seek CoC Certification as the scope of the Certification Audit becomes an assessment of the Entity's due diligence processes."]
[null,"A Miner (if applicable) processes Materials sourced from other external mining operations (e.g. ASM miners, another company, etc.)."]
[null,"The information entered is used to filter the applicable CoC Provisions for the Entity's CoC Certification Scope.  Screening is determined using the information in the RJC CoC Standard (S002_2012), the RJC Certification Handbook (G003_2012) and the RJC CoC Standards Guidance (G004_2012)."]
[]
[null,"Key details about each Facility within the Certification Scope, such as Name, Location, Number of Employees and Contractors, a brief written explanation of the nature of the business and a description of activities carried out at the Facility. "]
[]
[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,"Any changes to the CoC Certification Scope since the previous Audit."]
[null,"Part 3a: Assessment Questions"]
[null,"This section is to be used by the Entity and/or Auditor to record responses, evidence and findings that demonstrate how the Entity performs against the Provisions in 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.  This is documented in the column with the heading “Responsibility”. "]
[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,"Number of Assessment Toolkits to Use"]
[null,"An Entity/Auditor can decide how many separate  Assessment Toolkits, or similar, to complete as part of the overall Assessment. "]
[]
[null,"Estimate of Audit Time"]
[null,"The RJC Assessment Manual (T001_2009) provides estimates of audit time required in terms of Assessment person Days for different sizes and types of businesses under the RJC Code of Practices (see Table 4 in that document).  "]
[]
[null,"While the scope of subjects in the CoC Standard is narrower than for the Code of Practices, internal CoC systems will require more detailed verification to assure their integrity.  It is thus suggested that the guidance for audit time in Table 4 is also relevant for a CoC Certification Audit.  "]
[]
[null,"Outsourcing Contractors included in the CoC Certification Scope can be considered an ‘Additive Factor’ under Table 4 and will result in additional time for the audit.  Auditors may take a sampling approach to Outsourcing Contractors depending on the number of contractors, the type of business and processes, the risk of non-conformances and the geographical locations.  "]
[]
[null,"To achieve efficiencies, RJC Members have the option of combining Member Certification (against the Code of Practices) and one of the CoC audits, where this is relevant."]
[null,"Note that a Surveillance Audit is conducted by the RJC Accredited Auditor to monitoring a sample of CoC Provisions to provide assurance that the Entity continues to conform with the RJC CoC Standard.  The sample of Provisions is selected by the Auditor and usually covers areas of greatest risk of non-conformance as determined during the previous Audit.  As a guide, a Surveillance Audit usually takes about a quarter to a third of the time taken to conduct a Certification Audit."]
[]
[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."]
[]
[null,"Part 4: Certification Audit Request"]
[null,"When the Entity has completed the Self Assessment and is ready to for a Certification Audit, This Certification Audit Request must be completed, signed and submitted to an RJC Accredited Auditor.  "]
[]
[null,"Part 5: Reports and Statements"]
[null,"There are two reports that the Auditor must complete.  These include:"]
[null,"Detailed Report to Entity"]
[null,"Summary Report to RJC"]
[null,"On receipt of the CoC Certification Summary Report from the Auditor, the RJC will initiate the Certification process.  "]
[null,"Granting of RJC CoC Certification and Information Published on RJC Website"]
[null,"Information, content and the nature of each report type is described in the respective worksheets."]

{"sheet":"Glossary","index":4,"n_rows":140,"n_cols":2,"rows_kept":140,"cut":false,"hidden":false,"merged":[]}
[]
[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."]
[]
[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. "]

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[null,"Part 1 Entity contact details","(Please complete relevant sections in the white cells.)"]
[null,"Entity 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"]

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[null,"Part 2 Certification Scope "]
[]
[]
[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,1,null,null,false]
[null,"Entity Sector (Select all relevant sectors for your business)",null,null,null,null,null,null,null,null,null,{"$f":"IF(OR(Calculation!F7=TRUE,Calculation!G7=TRUE,Calculation!H7=TRUE),\"\",\"<-- Please select one or more sectors.\")","v":"<-- Please select one or more sectors."},null,null,null,1]
[null,"Type of Assessment (Please select one)",null,null,null,null,null,null,null,null,{"$f":"IF(Calculation!$AZ$21=4,Calculation!$AY$25,\"\")","v":""},{"$f":"IF(Calculation!AZ21=\"\",\"<-- Please select the type of Assessment.\",\"\")","v":""},null,null,null,1]
[null,"Type of Material (Type and Source) included in Certification Scope (See Glossary for definitions)",null,null,null,null,"Gold","Platinum","Palladium","Rhodium",null,null,null,null,null,1]
[null,"Mined",null,null,null,null,null,null,null,null,null,{"$f":"IF(Calculation!AZ7=TRUE,\"\",IF(AND(Calculation!AZ7=FALSE,NOT(Calculation!$AZ$21=4)),\"<-- Please select one or more Materials.\",IF(OR(Calculation!AZ7=FALSE,Calculation!$AZ$21=4),\"<-- Please select Materials and/or Sales Range.\")))","v":"<-- Please select one or more Materials."},null,null,null,1,null,{"$f":"Calculation!F7","v":false},{"$f":"Calculation!G7","v":false},{"$f":"Calculation!H7","v":false}]
[null,"Mining By-product",null,null,null,null,null,null,null,null,null,{"$f":"IF(Calculation!AZ8=TRUE,\"\",IF(AND(Calculation!AZ8=FALSE,NOT(Calculation!$AZ$21=4)),\"<-- Please select one or more Materials.\",IF(OR(Calculation!AZ8=FALSE,Calculation!$AZ$21=4),\"<-- Please select Materials and/or Sales Range.\")))","v":"<-- Please select one or more Materials."},null,null,null,1,null,false,false,false]
[null,"Recycled ",null,null,null,null,null,null,null,null,null,{"$f":"IF(Calculation!AZ9=TRUE,\"\",IF(AND(Calculation!AZ9=FALSE,NOT(Calculation!$AZ$21=4)),\"<-- Please select one or more Materials.\",IF(OR(Calculation!AZ9=FALSE,Calculation!$AZ$21=4),\"<-- Please select Materials and/or Sales Range.\")))","v":"<-- Please select one or more Materials."},null,null,null,1]
[null,"Grandfathered",null,null,null,null,null,null,null,null,null,{"$f":"IF(Calculation!AZ10=TRUE,\"\",IF(AND(Calculation!AZ10=FALSE,NOT(Calculation!$AZ$21=4)),\"<-- Please select one or more Materials.\",IF(OR(Calculation!AZ10=FALSE,Calculation!$AZ$21=4),\"<-- Please select Materials and/or Sales Range.\")))","v":"<-- Please select one or more Materials."},null,null,null,1]
[null,"Mixed of Mined, Mining By-product, Recycled and/or Grandfathered)",null,null,null,null,null,null,null,null,null,{"$f":"IF(Calculation!AZ11=TRUE,\"\",IF(AND(Calculation!AZ11=FALSE,NOT(Calculation!$AZ$21=4)),\"<-- Please select one or more Materials.\",IF(OR(Calculation!AZ11=FALSE,Calculation!$AZ$21=4),\"<-- Please select Materials and/or Sales Range.\")))","v":"<-- Please select one or more Materials."},null,null,null,1]
[null,{"$f":"IF(Calculation!$AZ$21=4,Calculation!$AY$25,\"\")","v":""},null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,"Please complete the following (as either Yes or No):",null,null,null,null,"Please Select Yes or No","Instruction / Message",null,null,null,null,null,null,null,1]
[null,"Select 'Yes' (from the drop down menu) if an Outsourcing Contractor/s will have custody of the Entity's CoC/Eligible Material during the Certification Period.",null,null,null,null,null,{"$f":"IF(G16=\"\",\"<-- Please select Yes or No before proceeding.\",IF(Calculation!AZ14=TRUE,\"Outsourcing Contractor/s must be included in the Certification Scope and a separate assessment  (**identify tab**)must be carried out for each Contractor.  Also, Provision 3 applies.\",\"\"))","v":"<-- Please select Yes or No before proceeding."},null,null,null,null,null,null,null,1]
[null,"(Trading, Manufacturing and/or Retailing Only) Select 'Yes' (from the drop down menu) if Eligible Material Declarations will be made during the certification period.",null,null,null,null,null,{"$f":"IF(G17=\"\",\"<-- Please select Yes or No before proceeding.\",IF(Calculation!AZ15=TRUE,\" Provision 7 applies to the Entity.\",\"\"))","v":"<-- Please select Yes or No before proceeding."},null,null,null,null,null,null,null,{"$f":"IF(AND(R17=FALSE,S17=FALSE,T17=FALSE),1,IF(T17=TRUE,1,0))","v":1},null,{"$f":"Calculation!$F$7","v":false},{"$f":"Calculation!$G$7","v":false},{"$f":"Calculation!$H$7","v":false}]
[null,"Select 'Yes' (from the drop down menu) if the Entity will make claims to consumers about CoC Materials during the certification period.",null,null,null,null,null,{"$f":"IF(G18=\"\",\"<-- Please select Yes or No before proceeding.\",IF(Calculation!AZ16=TRUE,\" Provision 9.1 and 9.2 apply to the Entity.\",\"\"))","v":"<-- Please select Yes or No before proceeding."},null,null,null,null,null,null,null,1]
[null,"(Refiners Only) Select 'Yes' (from the drop down menu) if the Entity intends to issue CoC Transfer Documents for CoC Material.  Note that if a Refiners has not issued a CoC Transfer Document, it can still can seek CoC Certification as the scope of the Certification Audit becomes an assessment of the Entity's due diligence processes.",null,null,null,null,null,{"$f":"IF(G19=\"\",\"<-- Please select Yes or No before proceeding.\",IF(G19=\"\",\"\",IF(Calculation!AZ17=FALSE,\"The scope of the CoC Certification Audit is an assessment of the Entity's due diligence processes. Only requirements from Provisions 1, 4, 5 and, 9 and 10 require a response, where applicable.\",\"The Refiners Scope includes all relevant provisions in the CoC Standard.\")))","v":"<-- Please select Yes or No before proceeding."},null,null,null,null,null,null,null,{"$f":"IF(AND(R19=FALSE,S19=FALSE,T19=FALSE),1,IF(T19=TRUE,1,0))","v":1},null,{"$f":"Calculation!$F$7","v":false},{"$f":"Calculation!$G$7","v":false},{"$f":"Calculation!$H$7","v":false}]
[null,"(Miners Only) Select 'Yes' (from the drop down menu)  if the Entity processes Materials sourced from other external mining operations (e.g. ASM miners, another company, etc.).",null,null,null,null,null,{"$f":"IF(G20=\"\",\"<-- Please select Yes or No before proceeding.\",IF(Calculation!AZ18=TRUE,\" Provision 10.2 applies to Miners.\",\"\"))","v":"<-- Please select Yes or No before proceeding."},null,null,null,null,null,null,null,{"$f":"IF(AND(R20=FALSE,S20=FALSE,T20=FALSE),1,IF(T20=TRUE,1,0))","v":1},null,{"$f":"Calculation!$F$7","v":false},{"$f":"Calculation!$G$7","v":false},{"$f":"Calculation!$H$7","v":false}]
[null,{"$f":"IF(Calculation!$AZ$21=\"\",\"\",VLOOKUP(Calculation!$AZ$21,Calculation!$AU$22:$AX$25,3,1))","v":"Select 'Yes' (from the drop down menu) if changes to the CoC Certification Scope are expected during the  Certification period."},null,null,null,null,null,{"$f":"IF(Calculation!$AZ$21=\"\",\"\",IF(G21=\"\",\"<-- Please select Yes or No before proceeding.\",IF(Calculation!AZ19=TRUE,\" Please complete section 2.4 below.\",\"\")))","v":"<-- Please select Yes or No before proceeding."},null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,"2.2 Entity Details: Please enter details about the Entity's Facilities.",null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,"Facility Name","Location (Address/City/Country)",null,"Number of:",null,"Description of Business",null,"Description of Activities (include information about business partners and contractors on site, and details of ownership/lease and changes since the last Assessment)",null,null,null,null,null,null,1]
[null,null,null,null,"Employees","Contractors",null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"Calculation!$AZ$14","v":false}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"Calculation!$AZ$14","v":false}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"Calculation!$AZ$14","v":false}]
[null,"2.3 Outsourcing Contractors: Please enter details about the Entity's Outsourcing Contractors.",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,"Outsourcing Contractor Name","Location (Address/City/Country)",null,"Number of:",null,"Description of Outsourcing Contractors' Business",null,"Nature of custody transfer of CoC Eligible Materials between the Entity and the Outsourcing Contactor. ",null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,"Employees","Contractors",null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$16=\"\",1,IF(Calculation!$AZ$14=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"Calculation!$AZ$14","v":false}]
[null,"2.4 CoC Certification Scope Changes",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,{"$f":"IF(Calculation!$AZ$21=\"\",\"\",VLOOKUP(Calculation!$AZ$21,Calculation!$AU$22:$AX$25,4,1))","v":"Please provide details of changes to the CoC Certification Scope expected during the Certification period."},null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,"Entity Sector",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,"New Eligible Materials",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,{"$f":"IF(Calculation!$AZ$21=1,\"\",\"(Please update section 2.1)\")","v":""},null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,"New Facilities",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,{"$f":"IF(Calculation!$AZ$21=1,\"\",\"(Please update section 2.2)\")","v":""},null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,"New Outsourcing Contractors",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,{"$f":"IF(Calculation!$AZ$21=1,\"\",\"(Please update section 2.3)\")","v":""},null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,"Other Changes",null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,{"$f":"IF($G$21=\"\",1,IF(Calculation!$AZ$19=TRUE,1,0))","v":1}]
[null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,1]

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[null,"Part 3a Assessment Questions - This section is to be used by the Entity or the Auditor."]
[null,"(Please complete relevant sections in the white cells and use the drop menu in the blue shaded cells.)",null,null,null,null,null,null,null,123]
[null,"Name (Entity, Facility or other reference):",null,null,null,null,null,null,null,null,null,null,"Date:"]
[null,null,{"$f":"Calculation!AH17","v":0},"Provisions rated from a total of:",{"$f":"Calculation!$AF$17","v":0},"relevant to the CoC Certification Scope.",null,null,null,null,null,null,null,null,null,null,null,"Yes"]
[null,"Chain of Custody Standard","#","Provision","#","Assessment Questions","Types of evidence",null,"Objective evidence in support of findings",null,"Observations and findings","Responsibility",null,"Performance rating (Please select from drop menu)","Comments / Notes",null,null,"Yes"]
[null,null,null,null,null,null,"Self Assessment or Certification Audit","Surveillance or Re-Certification Audit","Type","Details:",null,"Location","Details:",null,null,null,null,"Yes"]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},1.1000000000000001,"The Entity shall have a Management System/s that addresses all applicable requirements of the Standard, in all Facilities under the Control of the Entity that have Custody of CoC Material.",1,"Verify that the Member has established and is implementing a Management System/s which addresses all applicable requirements of the CoC Standard.","Systems have been developed that meet the Standard in all relevant parts of the business, subject to availability of Eligible/ CoC material.\n\nExamples of evidence:\n• Policies and procedures including a documented manual that describes the scope and details of the management system\n• Records such as meeting minutes, evidence of internal audits and management reviews\n• Personnel trained to understand relevant requirements\n• Interviews with management and relevant employees to demonstrate understanding and implementation of the system\n• Observations of practices and controls.","All relevant parts of the business are operating in conformance with all applicable provisions of the Standard.\n\nPolicies and procedures have been developed and are being implemented for all relevant requirements.\n\nExamples of evidence:\n• Policies and procedures including a documented manual that describes the scope and details of the management system\n• Records such as meeting minutes, evidence of internal audits and management reviews\n• Personnel trained to understand relevant requirements\n• Interviews with management and relevant employees to demonstrate understanding and implementation of the system\n• Observations of practices and controls."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U7","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N7=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U8","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,2,"Verify that the Management System/s applies in all Facilities under the Control of the Entity and that have Custody of CoC Material. ",null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U9","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U10","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},1.2,"The Entity shall nominate a management representative as having overall responsibility and authority for the Entity’s compliance with all applicable requirements of the Standard.",3,"Verify that the Entity has nominated a management representative as having overall responsibility and authority for the Entity’s compliance with all applicable requirements of the Standard.","Management representative has been nominated with overall responsibility and authority.\n\nExamples of evidence:\n• Interviews with management and relevant employees\n• Job description containing this responsibility and authority.","Management representative has been nominated and overall responsibility and authority is demonstrated in implementation.\n\nExamples of evidence:\n• Interviews with management and relevant employees\n• Job description containing this responsibility and authority."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U11","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N11=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U12","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U13","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U14","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},1.3,"The Entity shall establish and implement communications and training measures that make relevant personnel aware of and competent in their responsibilities under the Standard.",4,"Determine whether the Entity has identified personnel with roles and responsibilities relevant to the CoC Standard.","All relevant personnel have been identified have received training and are aware of and competent in their responsibilities under the Standard.\n\nCommunications programs have been developed and/or implemented.\n\nExamples of evidence:\n• List of relevant personnel\n• Job descriptions for relevant personnel\n• Communications plan and materials issued\n• Training materials and records\n• Interviews with managers, buyers, contracting personnel and other relevant staff to confirm awareness and competence.","All relevant personnel have been identified, have received training and are aware of and competent in their responsibilities under the Standard.\n\nCommunications programs have been implemented.\n\nExamples of evidence:\n• List of relevant personnel\n• Job descriptions for relevant personnel\n• Communications plan and materials issued\n• Training materials and records\n• Interviews with managers, buyers, contracting personnel and other relevant staff to confirm awareness and competence."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U15","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N15=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U16","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,5,"Verify that the Entity has effective communication and training measures that make relevant personnel aware of and competent in their responsibilities under the Standard.",null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U17","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U18","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},1.4,"The Entity shall maintain records covering all applicable requirements of the Standard and shall retain them for a minimum of five (5) years.",6,"Verify that Entity has a system in place for identifying, retrieving, storing and maintaining records generated by this Standard and that the system ensures records are maintained for a minimum of 5 years.","A record keeping system has been developed.\n\nExamples of evidence:\n• Procedures specifying data retention periods, and processes for record storage,  retrieval and maintenance\n• Security systems for retaining records\n• Interviews with relevant personnel.","Record keeping system is in place and is performing in conformance with the provision. \n\nExamples of evidence:\n• Procedures specifying data retention periods, and processes for record storage,  retrieval and maintenance\n• Security systems for retaining records\n• Sample of records including Transfer Documents\n• Interviews with relevant personnel."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U19","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N19=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U20","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U21","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U22","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},1.5,"The Entity shall have systems in place to enable it to respond to reasonable requests for verification of CoC Transfer Documents issued by the Entity.",7,"Verify that Entity has a system in place that enables it to respond to reasonable requests for verification of CoC Transfer Documents issued by the Entity.","System is in place to respond to verification requests.\n\nExamples of evidence:\n• Procedures for completing requests that ensures requests are appropriate and correctly completed\n• Record keeping system\n• Responsible person designated Responses to grievances or complaints relating to the CoC Transfer Documents.","System is in place to respond to verification requests and is operating in conformance with the provision.\n\nExamples of evidence:\n• Procedures for completing requests that ensures requests are appropriate and correctly completed\n• Record keeping system\n• Responsible person designated\n• Transfer Documents\n• Demonstrations of process\n• Responses to grievances or complaints relating to the CoC Transfer Documents."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U23","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N23=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U24","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U25","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U26","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},1.6,"The Entity seeking CoC Certification shall be an RJC Member, or under the Control of an RJC Member, in good standing, thereby committing to uphold responsible business practices as defined in RJC’s Code of Practices.",8,"Determine if the Entity seeking CoC Certification is an RJC Member, or under the Control of an RJC Member, in good standing.","Records are available to show the Entity is an RJC Member, or under the Control of an RJC Member, in good standing.\n\nExamples of evidence:\n• Check RJC Member list on website\n• If required, review evidence to demonstrate Control of the Entity by an RJC Member.","Records are available to show the Entity is an RJC Member, or under the Control of an RJC Member, in good standing.\n\nExamples of evidence:\n• Check RJC Member list on website\n• If required, review evidence to demonstrate Control of the Entity by an RJC Member."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U27","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N27=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U28","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U29","v":"No"}]
[null,{"$f":"Calculation!$AE$7","v":"1    Management System and Responsibilities"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U30","v":"No"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},2.1,"Each point where there is an opportunity for Eligible and/or CoC Material in the Custody of an Entity to become mixed with non-Eligible and/or non-CoC Material shall be identified and controls put in place to ensure segregation.",9,"Determine that the Entity has identified all points where there is an opportunity for Eligible and/or CoC Material in the Custody of an Entity to become mixed with non-Eligible and/or non-CoC Material.","All points of possible mixing have been identified.\n\nExamples of evidence:\n• Procedure for identification and documentation of all points\n• Interviews with management/ responsible persons\n• Observation of possible mixing points.","All points of possible mixing have been identified.\n\nExample of evidence:\n• Procedure for identification and documentation of all points\n• Evidence that the procedure has been applied during operation \n• Interviews with management/ responsible persons\n• Observation of possible mixing points. "," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U31","v":"No"}]
[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(N31=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U32","v":"No"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,10,"Verify that there are controls put in place to ensure segregation of Eligible and/or CoC Material from non-Eligible and/or non-CoC Material.","Controls are in place to ensure segregation.\n\nExamples of evidence:\n• Documentation of relevant controls \n• Specifications of segregation systems (electronic or paper based)\n• Policies and procedures\n• Job descriptions\n• Training system\n• Risk assessment\n• Interviews\n• Observation of possible mixing points and controls to mitigate risks.","Controls to ensure segregation are in place and are operating in conformance with the provision.\n\nExamples of evidence:\n• Documentation of relevant controls \n• Specifications of segregation systems (electronic or paper based) policies and procedures\n• Job descriptions\n• Training system\n• Risk assessment\n• Interviews\n• Reconciliations (ref question 2.2)\n• Observation of possible mixing points and controls to mitigate risks."," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U33","v":"No"}]
[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!U34","v":"No"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},2.2000000000000002,"The Entity’s internal systems shall be able to reconcile the total weight of Eligible and/or CoC Material for which it has Custody with movements in and out of the inventory over a given time period.  If the Entity has Custody of Jewellery Products containing CoC Material, reconciliation may be by item count rather than weight.",11,"Determine that the total weight or count* of Eligible and/or CoC Material for which the entity has Custody can be reconciled with movements in and out of the inventory over a given time period. (*Note that if the Entity has Custody of Jewellery Products containing CoC Material, then Entity may use count rather than weight as the unit of measure.)","System is in place to enable movements of CoC Material in and out of inventory to be reconciled over a given time period.\n\nExamples of evidence:\n• Specifications of reconciliation systems (electronic or paper based) Training system\n• Reconciliation records\n• Demonstration of reconciliation process\n• Interviews.","System is in place and operating to enable movements of CoC Material in and out of inventory to be reconciled over a given time period.\n\nExamples of evidence:\n• Software specifications\n• Training system\n• Reconciliation records\n• Demonstration of reconciliation process\n• Interviews."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U35","v":"No"}]
[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(N35=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U36","v":"No"}]
[null,{"$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!U37","v":"No"}]
[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!U38","v":"No"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},2.2999999999999998,"If the Entity issues a CoC Transfer Document for CoC Material identified as having a certain Provenance or other characteristic, the Entity’s internal systems shall ensure that the requirements for segregation and reconciliation as set out in provisions 2.1 and 2.2 apply to support the segregation of that CoC Material.",12,"If the Entity intends to issue a CoC Transfer Document for CoC Material identified as having a certain Provenance or other characteristic, verify that the Entity has a system in place to ensure that the requirements for segregation and reconciliation as set out in provisions 2.1 and 2.2 apply to that CoC Material.","System is in place for segregation and reconciliation of such CoC Material, if applicable.\n\nExamples of evidence:\n• All points where mixing may occur of materials of different Provenance have been identified and documented\n• Documentation of relevant controls \n• Policies and procedures\n• Job descriptions\n• Interviews with relevant personnel\n• Training system\n• Risk assessment\n• Training system\n• Results of system tests and reviews.","System is in place and performing in conformance with the provision for segregation and reconciliation of such CoC Material, if applicable.\n\nExamples of evidence:\n• All points where mixing may occur of materials of different Provenance have been identified and documented\n• Documentation of relevant controls \n• Policies and procedures\n• Job descriptions\n• Interviews with relevant personnel\n• Training system\n• Risk assessment\n• Training system\n• Results of system tests and reviews."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U39","v":"No"}]
[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(N39=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U40","v":"No"}]
[null,{"$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!U41","v":"No"}]
[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!U42","v":"No"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},2.4,"The Entity’s internal systems shall verify and document that the contents of each shipment of CoC Material received from, and/or dispatched to other Certified Entities, Outsourcing Contractors or Service Companies are accurately described by the applicable CoC Transfer Document for each such shipment.  If an error is discovered after CoC Material has been shipped, the Entity and the other party shall document the error and the agreed steps taken to correct it.",13,"Confirm that the Entity’s internal systems verify and document that the contents of each shipment of CoC Material received from, and/or dispatched to other Certified Entities, Outsourcing Contractors or Service Companies are accurately described by the applicable CoC Transfer Document for each such shipment.","System is in place to ensure shipments will be verified and documented.\n\nExamples of evidence:\n• Procedures and controls\n• Training\n• Demonstrations of steps that would be taken.","System to verify and document all shipments is in place and performing in conformance with the provision.\n\nExamples of evidence:\n• Procedures are being followed and controls are effective\n• Sampling of CoC Transfer Documents and other records\n• Physical inspection of CoC material on site and reconciliation with CoC Transfer Documents\n• Interviews."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U43","v":"No"}]
[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(N43=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U44","v":"No"}]
[null,{"$f":"Calculation!$AE$8","v":"2    Internal Material Controls"},null,null,14,"Determine that the Entity has a system in place to document errors discovered after CoC Material has been shipped and that the system incorporates corrective actions involving other parties affected by the error.","System is in place to document and correct errors.\n\nExamples of evidence:\n• Procedures and/or process description.\n• Software specifications\n• Demonstration of steps that would be taken.","System to document and correct errors is in place and performing in conformance with the provision.\n\nExamples of evidence:\n• Procedures and/or process description\n• Software specifications\n• Observation of controls in place including evidence that steps that have been taken to document and correct errors, if any."," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U45","v":"No"}]
[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!U46","v":"No"}]
[null,{"$f":"Calculation!$AE$9","v":"3    Outsourcing Contractors and Service Companies"},3.1,"The Entity shall not transfer CoC Material to an Outsourcing Contractor or Service Company unless the following conditions have been met:\na. The Entity shall have, and not relinquish, legal ownership of any CoC Material transferred to Outsourcing Contractors or Service Companies.\nb. The Entity shall assess the risk of potential non-conformance with this Standard resulting from the engagement of each Outsourcing Contractor or Service Company taking Custody of CoC Material owned by the Entity, and determine, based on the risk assessment, that the risk is acceptable.\nc. Any Outsourcing Contractor that  takes Custody of an Entity’s CoC Material shall be included in the Entity’s Certification Scope and shall have a Management System in place that conforms with provision 2 (Internal Material Control) of this Standard. \nd. Any Outsourcing Contractor included in an Entity’s Certification Scope shall not outsource any processing of CoC Material to any other contractor.",15,"Verify that the Entity has systems in place to ensure CoC Material is not transferred to an Outsourcing Contractor or Service Company unless it:\n• retains legal ownership of the material;\n• has assessed the risk of non-conformance with this Standard and determined that the risk is acceptable; \n• confirm all Outsourcing Contractor or Service Companies that will have custody of CoC Material are included in  RJC CoC Certification  Scope and a worksheet has been completed for provision 2;\n• ensures the Outsourcing Contractor or Service Company has its own systems that conform with Provision 2 (Internal Material Control) of the Standard; and\n• ensures the Outsourcing Contractor or Service Company does not outsource processing of the CoC material to any other contractor.","Procedures to identify all relevant Outsourcing Contractors and Service Companies.\n\nConfirmation that all Outsourcing Contractors and Service Companies included in the Certification Scope, or a sample of Outsourcing Contractors and Service Companies at the auditor’s discretion, have been audited for conformance with provision 2, and have no major non-conformances (Note that audits for Self Assessments may be either 1st, 2nd or 3rd party.  For a Certification Audit, Outsourcing Contractors must be audited by the RJC Accredited Auditor).\nEvidence that legal ownership of CoC Material is not relinquished to any Outsourcing Contractor or Service Company, or if transferred, is no longer CoC Material.\n\nRisk assessment completed for each Outsourcing Contractor and Service Company.\n\nSystem is in place to ensure CoC Material will not be transferred to any other contractor, or if transferred, is no longer CoC Material.\n\nExamples of evidence:\n• Certification Scope includes Outsourcing Contractors being used for CoC Material\n• Contract documents and specifications\n• Risk assessment \n• Invoices for work carried out by Outsourcing Contractor\n• Interviews with relevant personnel\n• Evidence of audits on Outsourcing Contractors.","Outsourcing Contractors and Service Companies included in the Certification Scope are operating in conformance with provision (Note that audits for Self Assessments may be 1st, 2nd or 3rd party.  For a Re-Certification Audit, Outsourcing Contractors must be audited by the RJC Accredited Auditor).\n\nEvidence consistent with provision 2 for the Entity applies to each Outsourcing Contractors and Service Companies, subject to sampling at the auditor’s discretion.  \n\nEvidence that ensure legal ownership of CoC Material is not relinquished to any Outsourcing Contractor or Service Company, or if transferred, is no longer CoC Material.\n\nRisk assessment completed for each Outsourcing Contractor and Service Company.\n\nSystem to ensure CoC Material will not be transferred to any other contractor, or if transferred is no longer CoC Material, is in place and operational.\n\nExamples of evidence:\n• Certification Scope includes Outsourcing Contractors being used for CoC Material\n• Contract documents and specifications\n• Risk assessment for activities conducted by Outsourcing Contractor\n• CoC Transfer Documents and other records\n• Invoices for work carried out by Outsourcing Contractor\n• Interviews with relevant personnel\n• Evidence of audits on Outsourcing Contractors."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U47","v":"No"}]
[null,{"$f":"Calculation!$AE$9","v":"3    Outsourcing Contractors and Service Companies"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N47=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U48","v":"No"}]
[null,{"$f":"Calculation!$AE$9","v":"3    Outsourcing Contractors and Service Companies"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U49","v":"No"}]
[null,{"$f":"Calculation!$AE$9","v":"3    Outsourcing Contractors and Service Companies"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U50","v":"No"}]
[null,{"$f":"Calculation!$AE$9","v":"3    Outsourcing Contractors and Service Companies"},3.2,"For the return of CoC Material from an Outsourcing Contractor or Service Company:\na. The Entity shall verify and record that each transfer received by the Entity for the return of CoC Material is consistent with the CoC Transfer Document issued by the Entity for the CoC Material when shipped to the Outsourcing Contractor or Service Company, subject to any changes to the CoC Material expected to occur as a result of the processing or manufacturing activities carried out by the Outsourcing Contractor.\nb. If there are inconsistencies, the Entity shall not issue any subsequent CoC Transfer Documents for that Material. ",16,"Determine that the Entity has internal checks and controls that verify the CoC Material returned from an Outsourcing Contractor or Service Company is the same Material as identified in the CoC Transfer Document, subject to any changes to the CoC Material expected to occur as a result of the processing or manufacturing activities carried out by the Outsourcing Contractor.","Checks and controls have been established to ensure returned shipments will be verified and confirmed to be within expected changes.\n\nExamples of evidence:\n• Procedures for checking and accepting shipments of CoC Material\n• Documentation of tolerances and controls\n• Training\n• Interviews.","Checks and controls to ensure returned shipments are verified and confirmed to be within expected changes are in place and performing in conformance with the provision.\n\nExamples of evidence:\n• Procedures for checking and accepting shipments of CoC Material are being followed\n• Documentation of tolerances and controls\n• Sampling of CoC Transfer Documents and other records\n• Sampling of controls\n• Training\n• Interviews."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U51","v":"No"}]
[null,{"$f":"Calculation!$AE$9","v":"3    Outsourcing Contractors and Service Companies"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N51=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U52","v":"No"}]
[null,{"$f":"Calculation!$AE$9","v":"3    Outsourcing Contractors and Service Companies"},null,null,17,"Verify that the Entity has processes to ensure any Materials returned from an Outsourcing Contractor or Service Company  that have inconsistencies with the  CoC Transfer Documents are not included in any subsequent CoC Transfer Documents.","System is in place to ensure that any Materials returned from an Outsourcing Contractor or Service Company that have inconsistencies with the  CoC Transfer Documents are not included in any subsequent CoC Transfer Documents.\n\nExamples of evidence:\n• Procedures for checking and accepting shipments of CoC Material\n• Procedure describing action to be taken when inconsistencies are identified\n• Training\n• Interviews.","System is in place to ensure that any Materials returned from an Outsourcing Contractor or Service Company that have inconsistencies with the  CoC Transfer Documents are not included in any subsequent CoC Transfer Documents.\n\nExamples of evidence:\n• Procedures for checking and accepting shipments of CoC Material\n• Procedure describing action to be taken when inconsistencies are identified\n• Training\n• Interviews\n• Sampling of CoC Transfer Documents and other records."," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U53","v":"No"}]
[null,{"$f":"Calculation!$AE$9","v":"3    Outsourcing Contractors and Service Companies"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U54","v":"No"}]
[null,{"$f":"Calculation!$AE$10","v":"4    Eligible Mined Materials"},4.0999999999999996,"An Entity shall have systems in place to ensure that Mined Material for which the Entity issues an Eligible Material Declaration is sourced only from one or more of the following:\na. Mining Facilities that are within its CoC Certification Scope;\nb. Mining Facilities in which it holds a legal interest and are within the CoC Certification Scope of another CoC Certified Entity;\nc. Mines or producers certified under a Recognised Responsible Mining Standard, with documented Due Diligence that confirms that the Material comes from such producer’s mining operations;\nd. ASM producers operating on the Entity’s Mining Facility concessions that have participated in initiatives that enable the professionalisation and formalisation of ASM, and with documented Due Diligence that confirms that the Material comes from such producer’s mining operations on the Entity’s Mining Facility concession and not from Illegitimate Sources;\ne. Processing residues that contain trace Precious Metals from which Mining Byproduct can be extracted, for which an Eligible Material Declaration may only be issued by the Refiner.",18,"Verify the Entity has systems in place to ensure that Mined Material for which the Entity issues an Eligible Material Declaration is sourced only from one or more of the following:\na. Mining Facilities that are within its CoC Certification Scope;\nb.  Mining Facilities in which it holds a legal interest and are within the CoC Certification Scope of another CoC Certified Entity;\nc. Mines or producers certified under a Recognised Responsible Mining Standard, with documented Due Diligence that confirms that the Material comes from such producer’s mining operations;\nd. ASM producers operating on the Entity’s Mining Facility concessions that have participated in initiatives that enable the professionalisation and formalisation of ASM, and with documented Due Diligence that confirms that the Material comes from such producer’s mining operations on the Entity’s Mining Facility concession and not from Illegitimate Sources;\ne. Processing residues that contain trace Precious Metals from which Mining Byproduct can be extracted, (for which an Eligible Material Declaration may only be issued by the Refiner).","Systems are in place to ensure that Mined Material for which the Entity intends to issue Eligible Material Declarations is sourced only from one or more of those sources listed in the provision.\n\nExamples of evidence:\n• CoC Certification Scope (including of another CoC Certified Entity where relevant) contains mining facilities.\n• Interviews\n• Documentation confirming source/certification under a Recognised Responsible Mining Standard (*Note:  list of Standards maintained on RJC website. Also consult the website of the Standard Owners)\n• Due diligence assessments addressing risk of conflict and Illegitimate Sources (See Implementation of Risk-Based Due Diligence, table 3, RJC CoC Standard Guidance\n• For on-concession ASM, information on professionalisation and formalisation initiatives\n• For Refiners and Mining Byproduct:  evidence that processing residues are sourced from a processor of other mined metals e.g. copper, nickel, where precious metals are a trace constituent\n• Inventory records.","Systems are in place and performing in conformance with the provision to ensure that Mined Material for which the Entity intends to issue Eligible Material Declarations is sourced only from one or more of those sources listed in the provision.\n\nExamples of evidence:\n• CoC Certification Scope (including of another CoC Certified Entity where relevant) contains mining facilities.\n• Interviews\n• Documentation confirming source/certification under a Recognised Responsible Mining Standard (*Note:  list of Standards maintained on RJC website. Also consult the website of the Standard Owners)\n• Due diligence assessments addressing risk of conflict and Illegitimate Sources (See Implementation of Risk-Based Due Diligence, table 3, RJC CoC Standard Guidance)\n• For on-concession ASM, information on professionalisation and formalisation initiatives\n• For Refiners and Mining Byproduct:  evidence that processing residues are sourced from a processor of other mined metals e.g. copper, nickel, where precious metals are a trace constituent\n• Inventory records\n• Eligible Material Declarations in CoC Transfer Documents."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U55","v":"No"}]
[null,{"$f":"Calculation!$AE$10","v":"4    Eligible Mined Materials"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N55=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U56","v":"No"}]
[null,{"$f":"Calculation!$AE$10","v":"4    Eligible Mined Materials"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U57","v":"No"}]
[null,{"$f":"Calculation!$AE$10","v":"4    Eligible Mined Materials"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U58","v":"No"}]
[null,{"$f":"Calculation!$AE$10","v":"4    Eligible Mined Materials"},4.2,"An Entity issuing an Eligible Material Declaration for Mined Material shall have documented Due Diligence that is able to confirm one of the following:\na. The mine or mines from which the Mined Material is produced, and/or the transportation routes for the Mined Material, are not located in Conflict-Affected Areas; or\nb. The mine or mines from which the Mined Material is produced and/or the transportation routes for the Mined Material are located in Conflict-Affected Areas, and the production, processing and transportation of the Material did not directly or indirectly finance or benefit Illegal Armed Groups through the provision of payments, logistical assistance or equipment to such Illegal Armed Groups or their affiliates; or\nc. The Material is Mining Byproduct with suppliers screened according to the Know Your Customer systems and procedures described in provisions 5.1a,b,c,d and 5.2a,b,c.",19,"Determine that an Entity issuing Eligible Material Declarations for Mined Material has conducted documented Due Diligence to confirm that the:\n\n• The mine or mines from which the Mined Material is produced, and/or the transportation routes for the Mined Material, are not located in Conflict Affected Areas; or\n• The mine or mines from which the Mined Material is produced and/or the transportation routes for the Mined Material are located in Conflict Affected Areas, and the production, processing and transportation of the Material did not directly or indirectly finance or benefit Illegal Armed Groups through the provision of payments, logistical assistance or equipment to such Illegal Armed Groups or their affiliates; or \n• The Material is Mining Byproduct with suppliers screened according to the Know Your Customer systems and procedures described in provisions 5.1a,b,c,d and 5.2a,b,c.","Systems are in place to provide documented Due Diligence Reports, in conformance with the provision, for all relevant sources of Mined Material for which Eligible Material Declarations are expected to be issued.\n\nMiners: System is in place to ensure any relevant mine is not located in Conflict Affected Areas or did not finance or benefit Illegal Armed Groups.\n\nExamples of evidence: \n• Implementation of Risk-Based Due Diligence, table 3, RJC CoC Standard Guidance\n• Responsible person designated\n• Individuals involved in preparing Due Diligence are knowledgeable of local conditions\n• Due diligence carried out by mining companies in accordance with the World Gold Council Conflict-Free Standard Access to third party information about Conflict-Affected Areas\n• Any relevant Illegal Armed Groups have been identified\n• Procedures for screening recipients of payments, logistical assistance or equipment\n• Controls over the use of equipment including aircraft\n• Controls over the use of cash payments.\n(Note: consult the RJC CoC Standards Guidance document for further guidance on Due Diligence).\n\nRefiners: System is in place to ensure that any Eligible Mining Byproduct will be sourced from suppliers screened according to the Know Your Customer systems and procedures described in provisions 5.1a,b,c,d and 5.2a,b,c.  \n\nExamples of evidence:\n• Inventory records\n• Due diligence assessments\n• Interviews\n• Documentation confirming source\n• Production/process information\n• Material transfer or transport records.","Systems are in place to provide documented Due Diligence Reports, in conformance with the provision, for all relevant sources of Mined Material for which Eligible Material Declarations have been issued, or are expected to be issued.\n\nMiners: System is in place to ensure any relevant mine is not located in Conflict Affected Areas or did not finance or benefit Illegal Armed Groups.\n\nExamples of evidence:\n• Implementation of Risk-Based Due Diligence, table 3, RJC CoC Standard Guidance\n• Responsible person designated\n• Individuals involved in preparing Due Diligence are knowledgeable of local conditions\n• Due diligence carried out by mining companies in accordance with the World Gold Council Conflict-Free Standard Access to third party information about Conflict-Affected Areas\n• Any relevant Illegal Armed Groups have been identified\n• Procedures for screening recipients of payments, logistical assistance or equipment\n• Controls over the use of equipment including aircraft\n• Controls over the use of cash payments.\n(Note: consult the RJC CoC Standards Guidance document for further guidance on Due Diligence).\n\nRefiners: System is in place and operating to ensure that any Eligible Mining Byproduct is sourced only from suppliers screened according to the Know Your Customer systems and procedures described in provisions 5.1a,b,c,d and 5.2a,b,c.  \n\nExamples of evidence:\n• Inventory records\n• Due diligence assessments\n• Interviews\n• Documentation confirming source\n• Correspondence records\n• Material transfer or transport records."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U59","v":"No"}]
[null,{"$f":"Calculation!$AE$10","v":"4    Eligible Mined Materials"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N59=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U60","v":"No"}]
[null,{"$f":"Calculation!$AE$10","v":"4    Eligible Mined Materials"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U61","v":"No"}]
[null,{"$f":"Calculation!$AE$10","v":"4    Eligible Mined Materials"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U62","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},5.0999999999999996,"5.1 An Entity shall ensure that any Eligible Recycled Material for which the  Entity issues an Eligible Material Declaration is produced is produced only from Recyclable Materials sourced according to the following Know Your Customer systems and procedures:  \na. The Entity shall document a Know Your Customer policy and procedures;\nb. The Entity shall nominate a Compliance Officer who shall be responsible for implementation of the Entity’s Know Your Customer policy and procedures to ensure they are up to date and appropriate;\nc. The Entity shall carry out a regular internal review of its Know Your Customer policy and procedures;\nd. The Entity shall monitor relevant transactions for unusual or suspicious activity and report suspicious transactions to the relevant authorities.",20,"Verify that an Entity only sources Recyclable Materials for which the Entity issues Eligible Material Declarations according to Know Your Customer principles and procedures.  The Entity's procedures must include:\n\n• a Know Your Customer policy and procedures;\n• a nominated Compliance Officer responsible for implementation of the Entity’s Know Your Customer policy and procedures;\n• the conduct of regular internal review of its Know Your Customer policy and procedures to ensure they are up to date and appropriate;\n• methods for monitoring relevant transactions for unusual or suspicious activity and reporting of suspicious transactions to the relevant authorities.","System is in place to ensure relevant Recyclable Materials are sourced according to Know Your Customer principles and procedures.\n\nExamples of evidence:\n• Know Your Customer Policy and procedures\n• Position description and/or appointment letter of a Compliance Officer\n• Interviews\n• Documented review/s of policy and procedures\n• Documentation or observation of monitoring methods\n• Monitoring records of transactions\n• Compliance meeting minutes.","System is in place and performing  in conformance with the provision to ensure relevant Recyclable Materials are sourced according to Know Your Customer principles and procedures.\n\nExamples of evidence:\n• Know Your Customer Policy and procedures\n• Position description and/or appointment letter of a Compliance Officer\n• Interviews\n• Documented review/s of policy and procedures\n• Documentation or observation of monitoring methods\n• Monitoring records of transactions\n• Compliance meeting minutes."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U63","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N63=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U64","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U65","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U66","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},5.2,"For Recyclable Precious Metals sourced from commercial suppliers:\na. The Entity shall provide a documented description of criteria for acceptable sources and  types of Precious Metals to:\ni. Companies seeking approval to become suppliers to the Entity; and\nii. CoC Certified customers purchasing CoC Material from the Entity.\nb. The Entity shall have documented procedures for approval of new commercial suppliers which shall include: \ni. Establishing the applicant’s identity, beneficial ownership and principals;\nii. Describing the applicant company’s business, its finances, and its source(s) of Precious Metals; \niii. Verifying the applicant is engaged in the described business; \niv. Denying the applicant if information acquired through the approval process provides reasonable evidence to suspect the legitimacy of the supplier and/or its sources.\nc. The Entity shall have documented procedures for monitoring commercial suppliers which shall include:\ni. Maintaining records of existing commercial suppliers’ identity, beneficial ownership and principals; \nii. Maintaining an understanding of the nature of each supplier’s business circumstances;  \niii. Acting upon information about possible links between the supplier and Illegitimate Sources; and\niv. Excluding the supplier from the production of any CoC Material if the monitoring procedures identify unusual or suspicious transactions, activities or associations by a supplier, and upon investigation those transactions cannot be cleared of suspicion.",21,"For Recyclable Precious Metals sourced from commercial suppliers, verify that the Entity provides a documented description of criteria for acceptable sources and types of Eligible Recyclable Precious Metals to any companies seeking approval to become suppliers of Recyclable Precious Metals to the Entity, and any CoC Certified customers purchasing CoC Material from the Entity.","Documented criteria for acceptable sources and types of Eligible Recyclable Precious Metals.\n\nProcedures for ensuring documented criteria are provided to companies seeking approval.","Documented criteria for acceptable sources and types of Eligible Recyclable Precious Metals.\n\nProcedures are in place and being followed to ensure documented criteria are provided to companies seeking approval."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U67","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},null,null,22,"Verify that the Entity has documented procedures for approval of new commercial suppliers which include provisions for: \n• establishing the applicant’s identity, beneficial ownership and principals;\n• information about the applicant company’s business, its finances, and its source(s) of Precious Metals;\n• verification that the applicant is engaged in the described business; \n• denying the applicant if information acquired through the approval process provides reasonable evidence to suspect the legitimacy of the supplier and/or its sources.","Documented procedures are in place and operating.\n\nExamples of evidence:\n• Procedures for gathering and verifying information about commercial suppliers.\n• Policies and procedures for denying applicants\n• Records of commercial suppliers' identification details\n• Description of commercial suppliers' business, finances and sources of Precious Metals\n• Records of company checks such as company references and internet research.","Documented procedures are in place and operating \n\nExamples of evidence:\n• Procedures for gathering and verifying information about commercial suppliers\n• Policies and procedures for denying applicants\n• Records of commercial suppliers' identification details\n• Description of commercial suppliers' business, finances and sources of Precious Metals \n• Records of company checks such as company references and internet research."," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N67=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U68","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},null,null,23,"Verify the Entity has documented procedures for monitoring commercial suppliers include:\n• maintaining records of existing commercial suppliers’ identity, beneficial ownership and principals;\n• maintaining an understanding of the nature of each supplier’s business circumstances; and\n• acting upon information about possible links between the supplier and Illegitimate Sources\n• excluding the supplier from the production of any Eligible Recycled Material if the monitoring procedures identify unusual or suspicious transactions, activities or associations by a supplier, and upon investigation those transactions cannot be cleared of suspicion use.","Documented procedures are in place and operating to monitor suppliers and update information.\n\nExamples of evidence:\n• Records of commercial suppliers' identification details\n• Description of commercial suppliers' business, finances and sources of Precious Metals\n• Records to confirm descriptions have been updated\n• Interviews to determine how suppliers are monitored\n• Incident report form or the equivalent to show the exclusion of suppliers from the production of any Eligible Recycled Material under certain unusual/suspicious circumstances which cannot be cleared via investigation (if has occurred).","Documented procedures are in place and operating to monitor suppliers and update information.\n\nExamples of evidence:\n• Records of commercial suppliers' identification details\n• Description of commercial suppliers' business, finances and sources of Precious Metals\n• Records to confirm descriptions have been updated\n• Interviews to determine how suppliers are monitored\n• Incident report form or the equivalent to show the exclusion of suppliers from the production of any Eligible Recycled Material under certain unusual/suspicious circumstances which cannot be cleared via investigation (if has occurred)."," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U69","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U70","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},5.3,"For Recyclable Materials for which the Entity issues an Eligible Material Declaration in the form of Jewellery or other products containing Precious Metals supplied directly to the Entity by individuals or estates, the Entity shall apply the following Know Your Customer procedures:\na. The Entity shall obtain and record proof of the identity of the seller and record an identification of the Jewellery Product or other product containing Recyclable Materials;\nb. The Entity shall undertake reasonable steps and inquiry to ensure the Recyclable Materials are not from an Illegitimate Source.",24,"Determine that the Entity undertakes   reasonable steps and inquiry to ensure the Recyclable Materials supplied directly to the Entity by individuals or estates are not from an Illegitimate Source.","System is in place and operational.\n\nExamples of evidence:\n• Records of identification details of suppliers and of products purchased\n• Procedures for determining individuals and estates are legitimate and products are from legitimate sources\n• Training system and materials\n• Interviews with responsible personnel\n• Records such as images of the item with a date stamp.","System is in place and operational.\n\nExamples of evidence:\n• Records of identification details of suppliers and of products purchased\n• Procedures for determining individuals and estates are legitimate and products are from legitimate sources\n• Training system and materials\n• Interviews with responsible personnel \n• Records such as images of the item with a date stamp."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U71","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N71=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U72","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},null,null,25,"Verify that the Entity has systems in place to establish proof of the identity of the seller and record an identification of the Jewellery Product or other product containing Recyclable Materials supplied directly to the Entity by individuals or estates.",null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U73","v":"No"}]
[null,{"$f":"Calculation!$AE$11","v":"5    Eligible Recycled Materials"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U74","v":"No"}]
[null,{"$f":"Calculation!$AE$12","v":"6    Eligible Grandfathered Materials"},6.1,"The Entity issuing an Eligible Material Declaration for Grandfathered Material shall have systems in place to ensure that the information necessary to make the Declaration is recorded, and that the Entity can verify the information on request.",26,"Determine that the Entity issuing an Eligible Material Declaration for Grandfathered Material has systems in place to ensure that the information necessary to make the Declaration is recorded, and that the Entity can verify the information on request.","Record keeping system is in place and operational.\n\nExamples of evidence:\n• Demonstrations that declarations are accurately and properly stated\n• Interviews\n• Procedures for recording dates and Marks by inventory item\n• Samples of records matched to a serial number or Mark\n• Procedures for responding to requests.","Record keeping system is in place and operational.\n\nExamples of evidence:\n• Demonstrations that declarations are accurately and properly stated\n• Interviews\n• Procedures for recording dates and Marks by inventory item\n• Samples of records matched to a serial number or Mark\n• Procedures for responding to requests\n• Procedures and examples of records where the Entity has verified the information on request."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U75","v":"No"}]
[null,{"$f":"Calculation!$AE$12","v":"6    Eligible Grandfathered Materials"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N75=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U76","v":"No"}]
[null,{"$f":"Calculation!$AE$12","v":"6    Eligible Grandfathered Materials"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U77","v":"No"}]
[null,{"$f":"Calculation!$AE$12","v":"6    Eligible Grandfathered Materials"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U78","v":"No"}]
[null,{"$f":"Calculation!$AE$12","v":"6    Eligible Grandfathered Materials"},6.2,"If the refining date does not appear as a permanent part of the item of Eligible Grandfathered Material, the Entity shall ensure it obtains documented evidence of the year the item was produced or minted based on records matched to a serial number or Refiner’s Mark stamped on the item or to some other permanent mark or physical characteristic.",27,"If the refining date does not appear as a permanent part of an item of Eligible Grandfathered Material, determine that the Entity obtains documented evidence of the year the item was produced or minted based on records matched to a serial number or Refiner’s Mark stamped on the item or to some other permanent mark or physical characteristic.","System is in place for obtaining documented evidence when required.\n\nExamples of evidence:\n• Procedures\n• Inspection of Marks other permanent mark or physical characteristic – either directly or via records\n• Interviews\n• Training.","System in place and operational for obtaining documented evidence when required.\n\nExamples of evidence:\n• Test procedures\n• Inspection of Marks other permanent mark or physical characteristic – either directly or via records\n• Interviews\n• Training\n• Records confirming dates for any Material that does not have a date stamp."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U79","v":"No"}]
[null,{"$f":"Calculation!$AE$12","v":"6    Eligible Grandfathered Materials"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N79=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U80","v":"No"}]
[null,{"$f":"Calculation!$AE$12","v":"6    Eligible Grandfathered Materials"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U81","v":"No"}]
[null,{"$f":"Calculation!$AE$12","v":"6    Eligible Grandfathered Materials"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U82","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},7.1,"The Entity issuing an Eligible Material Declaration in a CoC Transfer Document shall document the Eligible Material as one of the following:\na. Mined, in conformance with provision 4 of this Standard; or \nb. Recycled, in conformance with provision 5 of this Standard; or \nc. Grandfathered, in conformance with provision 6 of this Standard; or\nd. Mix of Mined, Recycled and/or Grandfathered, each in conformance with the applicable provisions of this Standard.",28,"Verify that systems to generate  CoC Transfer Documents  will record the type of Eligible Material being transferred as one of the following:- \n\n• Mined or Mining Byproduct, in conformance with provision 4 of this Standard; or \n• Recycled, in conformance with provision 5 of this Standard; or \n• Grandfathered, in conformance with provision 6 of this Standard; or\n• Mix of Mined, Recycled and/or Grandfathered, each in conformance with the applicable provisions of this Standard.","System is in place to accurately record the type of Eligible Material in all CoC Transfer Documents\n\nExamples of evidence:\n• Procedures and controls \n• Documentation of sources\n• Interviews\n• Training\n• Records of compliance with other relevant initiatives, such as EICC Free Smelter/Refiner Validation the LBMA Responsible Gold Guidance.","System is in place to accurately record the type of Eligible Material in all CoC Transfer Documents and is performing in conformance with the provision.\n\nExamples of evidence:\n• Test procedures and controls to ensure accuracy of the material type that has been declared on transfer document\n• Documentation of sources\n• Interviews\n• Training\n• Sample of CoC Transfer Documents\n• Records of compliance with other relevant initiatives, such as EICC Free Smelter/Refiner Validation the LBMA Responsible Gold Guidance."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U83","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N83=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U84","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U85","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U86","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},7.2,"For Eligible Mined Material, the Entity shall include in the CoC Transfer Document:\na. A Conflict-Free Declaration that identifies if 4.2.a, 4.2.b of 4.2.c applies.\nb. The country or countries where the Mined Material was extracted for 4.2.a or 4.2.b.\nc.  The country or countries where the Mining Byproduct was refined for 4.2.c \nd. If 4.2.b applies, the Entity shall append to the CoC Transfer Document a summary of its Due Diligence for that Material. ",29,"Verify that systems to generate CoC Transfer Documents for Eligible Mined Material include:\n\n• A Conflict-Free Declaration that identifies if 4.2.a, 4.2.b of 4.2.c applies\n• The country or countries where the Mined Material was extracted for 4.2.a or 4.2.b\n• The country or countries where the Mining Byproduct was refined for 4.2.c.\n• A summary of the due diligence for that that Material appended to the Transfer Document, where 4.2.b applies. ","System is in place to ensure the required information will be included in all CoC Transfer Documents.\n\nExamples of evidence:\n• Procedures\n• Documentation of sources\n• Interviews\n• Training\n• Transfer Document template\n• Due diligence summary if 4.2.b applies\n• Records of compliance with other relevant initiatives, such as EICC Free Smelter/Refiner Validation the LBMA Responsible Gold Guidance.","System is in place to ensure the required information is included in all CoC Transfer Documents and is performing in conformance with the provision.\n\nExamples of evidence:\n• Test procedures\n• Documentation of sources\n• Interviews\n• Training\n• Due diligence summary if 4.2.b applies\n• Sample of Transfer Documents\n• Records of compliance with other relevant initiatives, such as EICC Free Smelter/Refiner Validation the LBMA Responsible Gold Guidance."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U87","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N87=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U88","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U89","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U90","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},7.3,"When initiating a Chain-of-Custody for Material that will be mixed with existing CoC Material prior to a transfer to another Entity, the Entity shall record an Eligible Material Declaration in an Internal CoC Transfer Document.",30,"Verify that the systems for generating Eligible Material Declarations ensure that an Internal CoC Transfer Document for Eligible Material is recorded where Eligible material is mixed with CoC Material prior to a transfer to another Entity.","System is in place to ensure an Internal CoC Transfer Document for Eligible Material is recorded where Eligible material is mixed with CoC Material prior to a transfer to another Entity.\n\nExamples of evidence:\n• Procedures and controls\n• Interviews\n• Training\n• Transfer Document template\n• Records of compliance with other relevant initiatives, such as EICC Free Smelter/Refiner Validation the LBMA Responsible Gold Guidance.","System is in place and performing in conformance with the provision to ensure an Internal CoC Transfer Document for Eligible Material is recorded where Eligible material is mixed with CoC Material prior to a transfer to another Entity.\n\nExamples of evidence:\n• Test procedures and controls that ensure an internal transfer document is completed where required\n• Interviews\n• Training\n• Transfer Document template\n• Records of compliance with other relevant initiatives, such as EICC Free Smelter/Refiner Validation the LBMA Responsible Gold Guidance."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U91","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N91=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U92","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U93","v":"No"}]
[null,{"$f":"Calculation!$AE$13","v":"7    Eligible Material Declarations"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U94","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},8.1,"The Entity shall ensure that a CoC Transfer Document accompanies, and wherever possible is physically attached to, each shipment or transfer of CoC Material dispatched to other Certified Entities, Outsourcing Contractors or Service Companies.",31,"Determine that the Entity ensures that a CoC Transfer Document accompanies, and wherever possible is physically attached to, each shipment or transfer of CoC Material dispatched to other Certified Entities, Outsourcing Contractors or Service Companies.","System is in place to ensure a CoC Transfer Document will accompany and where possible will be attached to each shipment of CoC Material.\n\nExamples of evidence:\n• Procedures and controls\n• Interviews\n• Training\n• Transfer Document template\n• Demonstrations.","System is in place to ensure a CoC Transfer Document will accompany and where possible is attached to each shipment of CoC Material, and is operating in conformance with the provision.\n\nExamples of evidence:\n• Test procedures and controls that ensure a transfer document accompanies each shipment or transfer of material\n• Interviews\n• Training\n• Sample of Transfer Documents\n• Demonstrations."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U95","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N95=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U96","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U97","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U98","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},8.1999999999999993,"The Entity shall ensure that CoC Transfer Documents include all of the required information outlined in the template in Appendix 1 of this Standard.",32,"Verify that CoC Transfer Documents include all required and accurate information.","System is in place to ensure all required information will be included in CoC Transfer Documents in accordance with Appendix 1 and the Certification Scope.\n\nExamples of evidence:\n• Procedures and controls\n• Interviews\n• Records of second party audits\n• Training\n• Transfer Document template\n• Mock examples.","System is in place to ensure all required information is included in CoC Transfer Documents in accordance with Appendix 1 and the Certification Scope, and is operating in conformance with the provision.\n\nExamples of evidence:\n• Test procedures and controls that ensure all CoC documents include all required and accurate information\n• Interviews\n• Records of second party audits\n• Training\n• Sample of Transfer Documents."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U99","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N99=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U100","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U101","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U102","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},8.3000000000000007,"If the CoC Transfer Document includes supplementary information about the Entity, the Eligible Material, or its Provenance, the Entity shall ensure the supplementary information can be supported by objective evidence.",33,"Verify the entity has systems to ensure that any supplementary information about the Entity, the Eligible Material, or its Provenance, accompanying the CoC Transfer Document is correct and accurate and supported by objective evidence.","System is in place to ensure any supplementary information accompanying the CoC Transfer Document will be accurate and supported by objective evidence.\n\nExamples of evidence:\n• Procedures and controls\n• Interviews\n• Training\n• Transfer Document template\n• Records of supplementary information.","System is in place to ensure any supplementary information accompanying the CoC Transfer Document is accurate and supported by objective evidence, and is operating in conformance with the provision.\n\nExamples of evidence:\n• Test procedures and controls\n• Interviews\n• Training\n• Sample of Transfer Documents\n• Records of supplementary information."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U103","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N103=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U104","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U105","v":"No"}]
[null,{"$f":"Calculation!$AE$14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U106","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},9.1,"System is in place to ensure any supplementary information accompanying the CoC Transfer Document is accurate and supported by objective evidence, and is operating in conformance with the provision.\n\nExamples of evidence:\n• Test procedures\n• Interviews\n• Training\n• Sample of Transfer Documents\n• Records of supplementary information.",34,"If the Entity will make claims or representations about CoC Material in a Jewellery Product to consumers, determine that the claims or representations are described in written form and made available to consumers at the point of sale.  Verify that the claims or representations do not include information that is inconsistent with the CoC Transfer Document(s) supplying the CoC Material.","System is in place to ensure any claims to consumers about CoC Material will be available in written form at the point of sale and will not include information that is inconsistent with the CoC Transfer Document(s) supplying the CoC Material.\n\nExamples of evidence:\n• Procedures, including approvals of consumer claims\n• Interviews\n• Training \n• Mock examples\n• Review of customer complaint records.","System is in place to ensure any claims to consumers about CoC Material is available in written form at the point of sale and does not include information that is inconsistent with the CoC Transfer Document(s) supplying the CoC Material.\n\nExamples of evidence:\n• Procedures, including approvals of consumer claims\n• Interviews\n• Training of personnel making consumer claims\n• Samples of written materials, checked against Transfer Documents Review of customer complaint records."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U107","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N107=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U108","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U109","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U110","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},9.1999999999999993,"The Entity shall have systems in place to ensure all relevant employees, including sales associates, do not make verbal claims or representations to consumers about CoC Material that are inconsistent with the claims or representations described in written form.",35,"Verify that systems are in place to ensure personnel dealing with consumers (such as sales associates) only make verbal claims about CoC Material that are consistent with the claims or representations described in written form.","System is in place to ensure any verbal claims made to consumers will not be inconsistent with the claims or representations described in written form.\n\nExamples of evidence:\n• Procedures and controls\n• Interviews\n• Training.","System is in place to ensure any verbal claims made to consumers are not inconsistent with the claims or representations described in written form.\n\nExamples of evidence:\n• Test procedures and controls\n• Interviews\n• Training\n• Observation."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U111","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N111=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U112","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U113","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U114","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},9.3000000000000007,"If the Entity uses the RJC logo, it shall ensure that it abides by the Rules for Use of the Responsible Jewellery Council Logo, Trademarks and Intellectual Property.  If the Entity uses the RJC logo and/or CoC Certification stamps in association with Jewellery Products containing CoC Material, it shall ensure that their use clearly applies only to the CoC Material.",36,"Verify that the Entity conforms with the Rules for Use of Responsible Jewellery Council Logo, Trademarks and Intellectual Property (IP).","System is in place to ensure conformance with the RJC Rules.\n\nExamples of evidence:\n• Policies\n• Interviews\n• Records of use of RJC IP.","System is in place to ensure conformance with the RJC Rules.\n\nExamples of evidence:\n• Policies\n• Interviews\n• Records of use of RJC IP."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U115","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N115=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U116","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},null,null,37,"Verify that the Entity conforms with the Rules for Use of Responsible Jewellery Council Logo, Trademarks and Intellectual Property (IP).","System is in place to ensure any use of the RJC logo and/or CoC Certification stamps in association with Jewellery Products containing CoC Material applies only to CoC Material.\n\nExamples of evidence:\n• Procedures\n• Interviews.","System is in place to ensure any use of the RJC logo and/or CoC Certification stamps in association with Jewellery Products containing CoC Material applies only to CoC Material.\n\nExamples of evidence:\n• Procedures\n• Interviews\n• Observation."," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U117","v":"No"}]
[null,{"$f":"Calculation!$AE$15","v":"9    Consumer claims and Intellectual Property"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U118","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},10.1,"The Entity shall adopt and communicate to suppliers of Materials and the public a policy for the supply chain of Materials from Conflict Affected Areas.",38,"Verify that the Entity has a policy regarding the supply chain of Materials from Conflict Affected Areas, which is communicated to suppliers of Materials and is publically available.","Entity has a policy regarding the supply chain of Materials from Conflict Affected Areas, and the policy is communicated to suppliers of Materials and is publically available.\n\nExamples of evidence:\n• Documented policy that conforms with the provision\n• List of relevant suppliers \n• Records demonstrating the policy has been communicated to all suppliers\n• List of suppliers\n• Evidence demonstrating the policy is publicly available (or can be made available if Entity has no website)\n• EICC Conflict-Free Smelter/Refiner Validation is considered equivalent\n• A third-party audit within the previous 12 months verifying compliance with the LBMA Responsible Gold Guidance is considered substantially equivalent.","Entity has a policy regarding the supply chain of Materials from Conflict Affected Areas, and the policy is communicated to suppliers of Materials and is publically available.\n\nExamples of evidence:\n• Documented policy that conforms with the provision\n• List of relevant suppliers \n• Records demonstrating the policy has been communicated to all suppliers\n• List of suppliers\n• Evidence demonstrating the policy is publicly available (or can be made available if Entity has no website).\n• EICC Conflict-Free Smelter/Refiner Validation is considered equivalent\n• A third-party audit within the previous 12 months verifying compliance with the LBMA Responsible Gold Guidance is considered substantially equivalent\n• Evidence that policy is periodically reviewed for relevance and suitability."," None",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U119","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N119=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U120","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U121","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U122","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},10.199999999999999,"If the Entity purchases Materials, it shall assess the risks of non-compliance with its supply chain policy by its suppliers of Materials, and take action to prevent or mitigate the risks.",39,"Verify that the Entity periodically assesses the risks of non-compliance with its supply chain policy by its suppliers of Materials, and has systems in place to take action to prevent or mitigate the risks.","Risks of non-compliance with its supply chain policy by its suppliers of Materials have been assessed and systems are in place to take action to prevent or mitigate the risks.\n\nExamples of evidence:\n• Policy and procedures\n• Risk assessments\n• Interviews\n• Examples of actions taken\n• EICC Conflict-Free Smelter/Refiner Validation is considered substantially equivalent\n• A third-party audit within the previous 12 months verifying compliance with the LBMA Responsible Gold Guidance is considered substantially equivalent.","Risks of non-compliance with its supply chain policy by its suppliers of Materials have been assessed and systems are in place to take action to prevent or mitigate the risks.\n\nExamples of evidence:\n• Policy and procedures\n• Risk assessments\n• Interviews\n• Examples of actions taken\n• EICC Conflict-Free Smelter/Refiner Validation is considered substantially equivalent\n• A third-party audit within the previous 12 months verifying compliance with the LBMA Responsible Gold Guidance is considered substantially equivalent."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U123","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N123=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U124","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U125","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null,"None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U126","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},10.3,"The Entity shall establish a complaints or grievance mechanism appropriate to the nature, scale and impact of the business, to allow interested parties to voice concerns about circumstances in its supply chain involving Eligible and/or CoC Materials from Conflict Affected Areas.",40,"Determine that the Entity has an effective and appropriate complaints or grievance mechanism that allows interested parties to voice concerns about circumstances in the supply chain involving Eligible and/or CoC Materials from Conflict Affected Areas.","Complaints or grievance mechanism is in place that conforms to the provision.\n\nExamples of evidence:\n• Policies and procedures\n• Communications\n• Training\n• Records of complaints\n• Records of remedial actions taken.","Complaints or grievance mechanism is in place that conforms to the provision.\n\nExamples of evidence:\n• Policies and procedures\n• Communications\n• Training\n• Records of complaints\n• Records of remedial actions taken."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U127","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N127=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U128","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U129","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U130","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},10.4,"If the Entity is a Gold Refiner, it shall apply the following Conflict-Sensitive Due Diligence practices: \na. The Refiner shall source all Gold inputs according to the Know Your Customer systems and procedures described in provisions 5.1a,b,c,d and 5.2a,b,c.\nb. The Refiner shall conduct Due Diligence to confirm that the conditions described in provision 4.2 apply to all of its inputs of Mined Gold.  In conducting the Due Diligence, the Refiner may, subject to provision 10.4a, rely on information provided by suppliers of Mined Gold.",41,"Verify the Gold Refiner applies the following Conflict-Sensitive Due Diligence practices: \na. all of its Gold inputs are sourced according to the Know Your Customer systems and procedures described in provisions 5.1a,b,c,d and 5.2a,b,c\nb. Due Diligence is conducted to confirm that the conditions described in provision 4.2 apply to all of its inputs of Mined Gold.  In conducting the Due Diligence, the Refiner may, subject to provision 10.4a, rely on information provided by suppliers of Mined Gold.","Evidence of conformance with provisions 5.1a,b,c,d and 5.2a,b,c applies to all Gold inputs.\n\nEvidence of conformance with provision 4.2 applies to all inputs of Mined Gold.\n\nExamples of evidence of Due Diligence, which may include evidence provided by suppliers of Mined Gold:\n• Implementation of Risk-Based Due Diligence, see table 3, RJC CoC Standard Guidance\n• Responsible person designated\n• Access to third party information about Conflict-Affected Areas\n• Individuals involved in preparing Due Diligence are knowledgeable of local conditions\n• Any relevant Illegal Armed Groups have been identified\n• Procedures for screening recipients of payments, logistical assistance or equipment\n• Controls over the use of equipment including aircraft\n• Controls over the use of cash payments.\n\n(Note: consult the RJC CoC Standards Guidance document for further guidance on Due Diligence).\n\nEICC Conflict-Free Smelter/Refiner Validation is considered substantially equivalent.\n\nA third-party audit within the previous 12 months verifying compliance with the LBMA Responsible Gold Guidance is considered substantially equivalent.","Evidence of conformance with provisions 5.1a,b,c,d and 5.2a,b,c applies to all Gold inputs. \n\nEvidence of conformance with provision 4.2 applies to all inputs of Mined Gold.\n\nExamples of evidence of Due Diligence, which may include evidence provided by suppliers of Mined Gold:\n• Implementation of Risk-Based Due Diligence, see table 3, RJC CoC Standard Guidance\n• Responsible person designated\n• Access to third party information about Conflict-Affected Areas\n• Individuals involved in preparing Due Diligence are knowledgeable of local conditions\n• Any relevant Illegal Armed Groups have been identified\n• Procedures for screening recipients of payments, logistical assistance or equipment\n• Controls over the use of equipment including aircraft\n• Controls over the use of cash payments.\n\n(Note: consult the RJC CoC Standards Guidance document for further guidance on Due Diligence).\n\nEICC Conflict-Free Smelter/Refiner Validation is considered substantially equivalent.\n\nA third-party audit within the previous 12 months verifying compliance with the LBMA Responsible Gold Guidance is considered substantially equivalent."," Documentation",null,null," Head office",null,null,null,null,null,{"$f":"Calculation!U131","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," Observation",null,null," Divisional/ Business unit",null,{"$f":"IF(N131=\"Not Applicable\", \"Please state the reason for the Not Applicable in the 'Comments/Notes' column.\",\"\")","v":""},null,null,null,{"$f":"Calculation!U132","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," Testimonial",null,null," Facility",null,null,null,null,null,{"$f":"Calculation!U133","v":"No"}]
[null,{"$f":"Calculation!$AE$16","v":"10  Conflict-SensitiveSourcing"},null,null,null,null,null,null," None",null,null," None",null,null,null,null,null,{"$f":"Calculation!U134","v":"No"}]

{"sheet":"3b 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"},{"$f":"Calculation!AF8","v":0},{"$f":"Calculation!AH8","v":"NA"},{"$f":"Calculation!AI8","v":"NA"},{"$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!AE13","v":"7    Eligible Material Declarations"},{"$f":"Calculation!AF13","v":0},{"$f":"Calculation!AH13","v":"NA"},{"$f":"Calculation!AI13","v":"NA"},{"$f":"Calculation!AJ13","v":"NA"},{"$f":"Calculation!AK13","v":"NA"},{"$f":"Calculation!AL13","v":"NA"},{"$f":"Calculation!AM13","v":"NA"}]
[null,{"$f":"Calculation!AE14","v":"8    Chain-of-Custody (CoC) Transfer Documents"},{"$f":"Calculation!AF14","v":0},{"$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":"9    Consumer claims and Intellectual Property"},{"$f":"Calculation!AF15","v":0},{"$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":"10  Conflict-SensitiveSourcing"},{"$f":"Calculation!AF16","v":0},{"$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":"TOTAL"},{"$f":"Calculation!AF17","v":0},{"$f":"Calculation!AH17","v":0},{"$f":"Calculation!AI17","v":"NA"},{"$f":"Calculation!AJ17","v":0},{"$f":"Calculation!AK17","v":0},{"$f":"Calculation!AL17","v":0},{"$f":"Calculation!AM17","v":0}]

{"sheet":"3c 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)."]
[]
[null,"Please note any additional general findings made during the Assessment"]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[null,"Please Provide Details of Planned Changes to the Entity’s business that may occur in the following three years"]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[null,"Please Provide Details of Suggested Business Improvements."]

{"sheet":"4 Certification Audit Request","index":10,"n_rows":22,"n_cols":2,"rows_kept":22,"cut":false,"hidden":false,"merged":[[4,1,13,5],[20,1,20,5],[21,1,21,5],[14,2,14,5],[15,2,15,5],[16,2,16,5],[17,2,17,5],[18,2,18,5]]}
[null,"Section 4 - Request for a Certification Audit Assessment"]
[]
[null,{"$f":"IF(Calculation!$AZ$21=1,\"Please complete relevent sections in the white cells and submit to the Certification Auditors\",\"This Section Is NOT Required for a Certification Aust, Surveillance Audit or a Re-certification Audit.  Please proceed to Section 5.\")","v":"Please complete relevent sections in the white cells and submit to the Certification Auditors"}]
[]
[null,"Based on the results of the Self Assessment, the Member(s) requests a Certification Audit from an Accredited Auditor(s) to verify the information contained herein.  This request is made acknowledging:"]
[]
[]
[]
[]
[]
[]
[]
[]
[]
[null,"Authorised Person: "]
[null,"Position:"]
[null,"Entity Name:"]
[null,"Signature:"]
[null,"Date: "]
[]
[null,"When the Self Assessment is complete, it should be forwarded to the Accredited Auditor(s) engaged by the Entity"]
[null,"DO NOT send your Self Assessment to the RJC Management Team"]

{"sheet":"5a Detailed Report to Entity","index":11,"n_rows":61,"n_cols":6,"rows_kept":61,"cut":false,"hidden":false,"merged":[[11,2,11,16],[14,1,14,16],[19,1,19,16],[10,2,10,16],[26,1,26,3],[20,2,20,16],[21,2,21,16],[22,2,22,16],[23,2,23,16],[16,2,16,16],[15,2,15,16],[26,4,26,16],[5,1,5,16],[6,2,6,16],[7,2,7,16],[8,2,8,16],[9,2,9,16],[40,1,40,16],[27,1,27,3],[28,1,28,3],[24,2,24,16],[25,4,25,16],[27,4,27,16],[28,4,28,16],[25,1,25,3],[35,1,35,16],[36,1,36,16],[37,1,37,16],[38,1,38,16],[39,1,39,16],[57,1,57,16],[58,1,58,16],[60,1,60,16],[56,1,56,16],[59,1,59,16],[55,1,55,16],[54,1,54,16],[48,1,48,16],[49,1,49,16],[50,1,50,16],[2,1,2,15],[52,1,52,16],[53,1,53,16],[51,1,51,16],[45,1,45,16],[42,1,42,16],[44,1,44,16],[43,1,43,16],[46,1,46,16],[47,1,47,16],[41,1,41,16],[12,2,12,16],[31,1,31,16],[32,1,32,16],[33,1,33,16],[34,1,34,16]]}
[null,"Section 5a - Detailed Report to Entity for the ",null,null,null,{"$f":"IF(Calculation!$AZ$21=\"\",\"Audit\",VLOOKUP(Calculation!$AZ$21,Calculation!$AU$22:$AV$25,2,1))","v":"Self Assessment"}]
[]
[null,{"$f":"IF(Calculation!$AZ$21=\"\",\"This section is to be completed by the Auditor.\",IF(Calculation!$AZ$21=2,\"The Auditor must include the following contents in the Certification Audit Summary Report submitted the RJC.\",IF(Calculation!$AZ$21=3,\"The Auditor must include the following contents in the Surveillance Audit Summary Report submitted the RJC .\",IF(Calculation!$AZ$21=4,\"The Auditor must include the following contents in the Re-Certification Audit Summary Report submitted the RJC .\", \"This section is to be completed by the Auditor. (Note that this Is NOT required for a Self Assessment.)\"))))","v":"This section is to be completed by the Auditor. (Note that this Is NOT required for a Self Assessment.)"}]
[]
[null,"Audit Report"]
[null,"The Detailed Report to the Entity must include:"]
[null,"ü",{"$f":"IF(Calculation!$AZ$21=2,\"Auditor recommendation for Certification based on Certification Audit findings (see below).\", IF(Calculation!$AZ$21=3,\"Auditor recommendation for ongoing Certification based on Surveillance Audit findings (see below).\", IF(Calculation!$AZ$21=4,\"Auditor recommendation for Re-Certification based on Re-Certification Audit findings.\",\"Auditor recommendation for Certification (see below).\")))","v":"Auditor recommendation for Certification (see below)."}]
[null,"ü","Auditor Statement (See below)"]
[null,"ü","Entity Contact Details (Part 1 of the Assessment Toolkit)"]
[null,"ü","CoC Certification Scope (Part 2 of the Assessment Toolkit)"]
[null,"ü","Summary of Findings Table and Chart  (Part 3b of the Assessment Toolkit)"]
[null,"ü","Relevant information in Additional Findings (Part 3c of the Assessment Toolkit)"]
[null,"ü","Report covering all headings in suggested Table of Contents Below"]
[null,"Auditor Recommendation:"]
[null,"Based on the scope and findings of the Verification Assessment, the sites visited and the available information provided by the Entity:"]
[null,null,{"$f":"IF(Calculation!$AZ$21=2,\"The Auditors recommend that the RJC Management Team grant RJC CoC Certification to the Entity. The Entity conforms with applicable Provisions in the CoC Standard at its Facilities covered by the CoC Certification Scope. \", IF(Calculation!$AZ$21=3,\"The Auditors recommend that the CoC Certification is maintained. The Entity continues to conforms with applicable Provisions in the CoC Standard at its Facilities covered by the CoC Certification Scope.\", IF(Calculation!$AZ$21=4,\"The Auditors recommend that the RJC Management Team recertify the Entity. The Entity conforms with applicable Provisions in the CoC Standard at its Facilities covered by the CoC Certification Scope. \",\"The Auditors recommend that the RJC Management Team grant RJC CoC Certification to the Entity. The Entity conforms with applicable Provisions in the CoC Standard at its Facilities covered by the CoC Certification Scope.\")))","v":"The Auditors recommend that the RJC Management Team grant RJC CoC Certification to the Entity. The Entity conforms with applicable Provisions in the CoC Standard at its Facilities covered by the CoC Certification Scope."}]
[null,null,{"$f":"IF(Calculation!$AZ$21=2,\"The Entity is not recommended for CoC Certification as it has not fully met the reuirements of the CoC Standard. \", IF(Calculation!$AZ$21=3,\"The Auditors recommend that the CoC Certification is suspended as the Entity no longer conforms with applicable Provisions in the CoC Standard. A follow-up Surveillance Audit must be conducted once the Entity is ready.\", IF(Calculation!$AZ$21=4,\"The Entity is not recommended for CoC Certification as it has not fully met the reuirements of the CoC Standard. A follow-up Re-Certification Audit must be conducted once the Entity is ready. \",\"The Entity is not recommended for CoC Certificationas it has not fully met the reuirements of the CoC Standard.\")))","v":"The Entity is not recommended for CoC Certificationas it has not fully met the reuirements of the CoC Standard."}]
[]
[null,"Auditor Statement"]
[null,"The Auditors confirm that: "]
[null,"ü","The information provided by the Entity is true and accurate to the best knowledge of the Auditor(s) preparing this report."]
[null,"ü","The findings are based on verified Objective Evidence relevant to the time period for the assessment, traceable and unambiguous."]
[null,"ü","The scope of the assessment and the method used are sufficient to establish confidence that the findings are indicative of the performance of the Entity defined CoC Certification Scope (including changes to the CoC Certification Scope as stated by the Entity prior to the Audit)."]
[null,"ü","The Report has been written to address all RJC requirements."]
[null,"ü","The Auditor(s) have acted in a manner deemed ethical, truthful, accurate professional, independent and objective."]
[null,"Lead Auditor Name: "]
[null,"Title:"]
[null,"Signature:"]
[null,"Date: "]
[]
[null,"Report Table of Contents"]
[null,"EXECUTIVE SUMMARY"]
[null,"1.     INTRODUCTION"]
[null,"1.1.    Background and Entity Contact Details"]
[null,"1.2.    Purpose"]
[null,"1.3.    CoC Certification Scope (defined by entity in Part 2 of the Assessment Toolkit)"]
[null,"1.4.    Audit Scope"]
[null,"1.4.1.    CoC Provisions Assessed"]
[null,"1.4.2.    Facilities Visited"]
[null,"1.4.3.    Personnel Interviewed"]
[null,"1.4.4.    Documents Reviewed"]
[null,"1.4.5.    Limitations"]
[null,"1.5.    Audit Team"]
[null,"1.6.    Audit Plan"]
[null,"1.7.    Audit Methodology"]
[null,"1.7.1.    Overview"]
[null,"1.7.2.    Objective Evidence and Conformance Verification"]
[null,"1.7.3.    Opening and Closing Meeting Attendance"]
[null,"1.8.     Abbreviations and Acronyms"]
[null,"2.     AUDIT FINDINGS & SUGGESTED RECOMMENDATIONS (Including Summary of Findings Table and Chart  (Part 3b of the Assessment Toolkit)"]
[null,"2.1.    Noteworthy Achievements"]
[null,"2.2.    Major Non-Conformances"]
[null,"2.2.    Minor Non-Conformances"]
[null,"2.4.    Observations"]
[null,"2.5.    Suggested Business Improvements (optional)"]
[null,"2.6.    Additional Findings"]
[null,"2.7.    Verification of Non-Applicable Provisions"]
[null,"3.     AUDITOR RECOMMENDATION"]
[null,"4.     AUDITOR STATEMENT"]
[null,"5.     CONCLUDING STATEMENT(s)"]
[null,"APPENDICES & SUPPORTING DOCUMENTATION"]

{"sheet":"5b Summary Report to RJC","index":12,"n_rows":54,"n_cols":6,"rows_kept":54,"cut":false,"hidden":false,"merged":[[10,2,10,16],[5,1,5,16],[6,2,6,16],[7,2,7,16],[8,2,8,16],[9,2,9,16],[25,1,25,3],[25,4,25,16],[11,2,11,16],[12,2,12,16],[14,1,14,16],[15,2,15,16],[16,2,16,16],[19,1,19,16],[20,2,20,16],[21,2,21,16],[22,2,22,16],[23,2,23,16],[24,2,24,16],[26,1,26,3],[26,4,26,16],[27,1,27,3],[27,4,27,16],[28,1,28,3],[28,4,28,16],[37,1,37,16],[38,1,38,16],[39,1,39,16],[31,1,31,16],[32,1,32,16],[33,1,33,16],[34,1,34,16],[35,1,35,16],[2,1,2,15],[53,1,53,16],[43,1,43,16],[44,1,44,16],[45,1,45,16],[46,1,46,16],[47,1,47,16],[48,1,48,16],[49,1,49,16],[50,1,50,16],[51,1,51,16],[52,1,52,16],[40,1,40,16],[41,1,41,16],[42,1,42,16],[36,1,36,16]]}
[null,"Section 5b - Summary Report to the RJC for the ",null,null,null,{"$f":"IF(Calculation!$AZ$21=\"\",\"Audit\",VLOOKUP(Calculation!$AZ$21,Calculation!$AU$22:$AV$25,2,1))","v":"Self Assessment"}]
[]
[null,{"$f":"IF(Calculation!$AZ$21=\"\",\"This section is to be completed by the Auditor.\",IF(Calculation!$AZ$21=2,\"The Auditor must include the following contents in the Certification Audit Summary Report submitted the RJC.\",IF(Calculation!$AZ$21=3,\"The Auditor must include the following contents in the Surveillance Audit Summary Report submitted the RJC .\",IF(Calculation!$AZ$21=4,\"The Auditor must include the following contents in the Re-Certification Audit Summary Report submitted the RJC .\", \"This section is to be completed by the Auditor. (Note that this Is NOT required for a Self Assessment.)\"))))","v":"This section is to be completed by the Auditor. (Note that this Is NOT required for a Self Assessment.)"}]
[]
[null,"Audit Report"]
[null,"The Summary Report to the Entity must include:"]
[null,"ü",{"$f":"IF(Calculation!$AZ$21=2,\"Auditor recommendation for Certification based on Certification Audit findings (see below).\", IF(Calculation!$AZ$21=3,\"Auditor recommendation for ongoing Certification based on Surveillance Audit findings (see below).\", IF(Calculation!$AZ$21=4,\"Auditor recommendation for Re-Certification based on Re-Certification Audit findings.\",\"Auditor recommendation for Certification (see below).\")))","v":"Auditor recommendation for Certification (see below)."}]
[null,"ü","Auditor Statement (See below)"]
[null,"ü","Entity Contact Details (Part 1 of the Assessment Toolkit)"]
[null,"ü","CoC Certification Scope (Part 2 of the Assessment Toolkit)"]
[null,"ü","Summary of Findings Table and Chart  (Part 3b of the Assessment Toolkit)"]
[null,"ü","Relevant information in Additional Findings (Part 3c of the Assessment Toolkit)"]
[null,"ü","Report covering all headings in suggested Table of Contents Below"]
[null,"Auditor Recommendation:"]
[null,"Based on the scope and findings of the Verification Assessment, the sites visited and the available information provided by the Entity:"]
[null,null,{"$f":"IF(Calculation!$AZ$21=2,\"The Auditors recommend that the RJC Management Team grant RJC CoC Certification to the Entity. The Entity conforms with applicable Provisions in the CoC Standard at its Facilities covered by the CoC Certification Scope. \", IF(Calculation!$AZ$21=3,\"The Auditors recommend that the CoC Certification is maintained. The Entity continues to conforms with applicable Provisions in the CoC Standard at its Facilities covered by the CoC Certification Scope.\", IF(Calculation!$AZ$21=4,\"The Auditors recommend that the RJC Management Team recertify the Entity. The Entity conforms with applicable Provisions in the CoC Standard at its Facilities covered by the CoC Certification Scope. \",\"The Auditors recommend that the RJC Management Team grant RJC CoC Certification to the Entity. The Entity conforms with applicable Provisions in the CoC Standard at its Facilities covered by the CoC Certification Scope.\")))","v":"The Auditors recommend that the RJC Management Team grant RJC CoC Certification to the Entity. The Entity conforms with applicable Provisions in the CoC Standard at its Facilities covered by the CoC Certification Scope."}]
[null,null,{"$f":"IF(Calculation!$AZ$21=2,\"The Entity is not recommended for CoC Certification as it has not fully met the reuirements of the CoC Standard. \", IF(Calculation!$AZ$21=3,\"The Auditors recommend that the CoC Certification is suspended as the Entity no longer conforms with applicable Provisions in the CoC Standard. A follow-up Surveillance Audit must be conducted once the Entity is ready.\", IF(Calculation!$AZ$21=4,\"The Entity is not recommended for CoC Certification as it has not fully met the reuirements of the CoC Standard. A follow-up Re-Certification Audit must be conducted once the Entity is ready. \",\"The Entity is not recommended for CoC Certificationas it has not fully met the reuirements of the CoC Standard.\")))","v":"The Entity is not recommended for CoC Certificationas it has not fully met the reuirements of the CoC Standard."}]
[]
[null,"Auditor Statement"]
[null,"The Auditors confirm that: "]
[null,"ü","The information provided by the Entity is true and accurate to the best knowledge of the Auditor(s) preparing this report."]
[null,"ü","The findings are based on verified Objective Evidence relevant to the time period for the assessment, traceable and unambiguous."]
[null,"ü","The scope of the assessment and the method used are sufficient to establish confidence that the findings are indicative of the performance of the Entity defined CoC Certification Scope (including changes to the CoC Certification Scope as stated by the Entity prior to the Audit)."]
[null,"ü","The Report has been written to address all RJC requirements."]
[null,"ü","The Auditor(s) have acted in a manner deemed ethical, truthful, accurate professional, independent and objective."]
[null,"Lead Auditor Name: "]
[null,"Title:"]
[null,"Signature:"]
[null,"Date: "]
[]
[null,"Report Table of Contents"]
[null,"EXECUTIVE SUMMARY"]
[null,"1.     INTRODUCTION"]
[null,"1.1.    Background and Entity Contact Details"]
[null,"1.3.    CoC Certification Scope (defined by entity in Part 2 of the Assessment Toolkit)"]
[null,"1.4.    Audit Scope"]
[null,"1.4.1.    CoC Provisions Assessed"]
[null,"1.4.2.    Facilities Visited"]
[null,"1.4.5.    Limitations"]
[null,"1.5.    Audit Team"]
[null,"1.6.    Audit Methodology"]
[null,"1.7.    Audit Plan"]
[null,"1.8.     Abbreviations and Acronyms"]
[null,"2.     AUDIT FINDINGS & SUGGESTED RECOMMENDATIONS (Including Summary of Findings Table and Chart  (Part 3b of the Assessment Toolkit)"]
[null,"2.1.    Noteworthy Achievements for Communication to Other Members"]
[null,"2.2.    Provisions with Major Non-Conformances"]
[null,"2.2.    Provisions with Minor Non-Conformances"]
[null,"2.4.    General Observations and Findings"]
[null,"2.7.    Verification of Non-Applicable Provisions"]
[null,"3.     AUDITOR RECOMMENDATION"]
[null,"4.     AUDITOR STATEMENT"]
[null,"5.    GENERAL COMMENTS AND FEEDBACK"]
[null,"5.1.    Conflict Matters"]
[null,"5.1.    General Feedback to RJC"]

{"sheet":"5c RJC Grants CoC Certification","index":13,"n_rows":24,"n_cols":3,"rows_kept":24,"cut":false,"hidden":false,"merged":[[13,2,13,16],[20,1,21,16],[23,1,24,16],[2,1,3,15],[5,1,5,16],[6,2,6,16],[7,2,7,16],[11,2,11,16],[9,2,9,16],[8,2,8,16]]}
[null,"Section 5c -Granting of RJC CoC Certification and Information published on RJC Website "]
[]
[null,{"$f":"IF(Calculation!$AZ$21=\"\",\"This section is to be completed by the RJC.\",IF(OR(Calculation!$AZ$21=2,Calculation!$AZ$21=4),\"The RJC will prepare a public statement (maximum of 2 pages) that will be published on the RJC website about the Entitys' CoC Certification Recommendation.\",IF(Calculation!$AZ$21=3,\"This section is to be completed by the RJC. (Note that a statement is not required for a Surveillance Audit.)\",\"This section is to be completed by the RJC. (Note that this is not required for a Self Assessment.)\")))","v":"This section is to be completed by the RJC. (Note that this is not required for a Self Assessment.)"}]
[]
[null,"On receipt of the CoC Certification Summary Report from the Auditor, the RJC will initiate the Certification process. "]
[null,"Steps carried out by RJC include to:"]
[null,1,"Confirm the competence of the Auditor(s) against the RJC’s accredited auditor register."]
[null,2,"Confirm that the Entity’s RJC Membership is in good standing in all respects."]
[null,3,"Review the Summary Report and confirm that the findings are consistent with the instructions to auditors in the Certification Handbook and Assessment Toolkit."]
[null,4,"Document the terms of the Certification validity, including the name and geographic location/s of the Certified Entity, the date Certification becomes effective and expires, and when re-assessment is due; and the standards documents (including issue number and/or revision) used for the assessments."]
[]
[null,5,"Issue formal documentation and information to the Member, including a unique RJC CoC Certification identification number unambiguously identifying the Certification status, and the licence conditions for use of the RJC logo and related intellectual property."]
[]
[null,6,"Record the Member’s RJC CoC Certification status on the RJC website.  A CoC Certification Information PDF will be prepared by RJC that includes:"]
[null,null,"o   RJC CoC Certification Scope of Entity (including list of Facilities and Eligible Materials)"]
[null,null,"o   RJC Accredited Auditor details"]
[null,null,"o   Summary paragraph of Audit Methodology and Limitations"]
[null,null,"o   Auditor recommendation for Certification (see Assessment Toolkit worksheet 5.b)"]
[null,null,"o   Auditor Statement (see Assessment Toolkit worksheet 5.b)."]
[]
[null,"Impartiality is an important principle in the granting of all RJC certification.  Potential conflicts of interest that could threaten impartiality are carefully monitored and managed by the RJC Management Team and associated RJC Committees."]
[]
[]
[null,"RJC CoC Certified Entities are further encouraged to publicly report on their due diligence efforts and associated verification processes and outcomes in company reports and any other appropriate publication or forum."]

{"sheet":"CoC Transfer Document","index":14,"n_rows":71,"n_cols":8,"rows_kept":71,"cut":false,"hidden":false,"merged":[[21,1,21,3],[22,1,22,8],[23,1,26,8],[5,3,5,5],[5,6,5,8],[6,3,6,5],[6,6,6,8],[7,3,7,5],[7,6,7,8],[11,3,11,8],[12,1,12,8],[13,1,13,8],[10,1,10,2],[11,1,11,2],[5,1,5,2],[6,1,6,2],[0,1,0,8],[3,3,3,5],[3,6,3,8],[4,3,4,5],[4,6,4,8],[2,5,2,7],[3,1,3,2],[4,1,4,2],[56,1,56,8],[57,1,57,8],[43,2,43,8],[44,2,47,8],[27,1,27,8],[28,1,31,8],[32,1,32,8],[33,1,36,8],[40,1,40,8],[41,2,42,7],[39,1,39,7],[48,2,50,8],[51,2,51,8],[52,2,55,8],[7,1,7,2],[17,1,17,3],[18,1,18,3],[19,1,19,3],[20,1,20,3],[14,1,14,8],[15,1,15,8],[16,1,16,8],[8,1,8,8],[9,1,9,8],[10,3,10,8],[68,2,69,8],[70,2,70,8],[71,2,74,8],[58,2,59,8],[60,2,60,8],[61,2,64,8],[65,2,66,8],[67,2,67,8]]}
[null,"RJC Chain of Custody Transfer Document"]
[]
[null,"Date:",null,"Document Number:"]
[null,"Contact Details",null,"Issuer ",null,null,"Receiver"]
[null,"Name of Company  "]
[null,"Address "]
[null,"Certification number"]
[null,"Responsible person"]
[null,"The information provided in this CoC Transfer Document is in conformance with the RJC CoC Standard."]
[null,"CoC Material "]
[null,"Total weight"]
[null,"Number of items (if applicable)"]
[null,"Type of Transfer (Check one)"]
[]
[]
[]
[]
[null,"Type of Material contained in Transfer \n(check all that apply)",null,null,"Gold","Platinum","Palladium","Rhodium"]
[null,"Mined"]
[null,"Recycled "]
[null,"Grandfathered"]
[null,"Mix of Mined, Recycled and/or Grandfathered"]
[null,"Supplementary Information (include at Issuer’s discretion)"]
[]
[]
[]
[]
[null,"Material’s previous CoC Transfer Document number(s) (optional)"]
[]
[]
[]
[]
[null,"Description of any non-CoC Material which is part of Jewellery Products containing CoC Material (if applicable)"]
[]
[]
[]
[]
[]
[null,"Complete section A or B below for all Transfers of Mined Material:"]
[null,"A: Conflict-Free Declaration for Mined Material \n     (To be completed by CoC Certified Mining Company) "]
[null,"Please check one"]
[null,null,"The mine or mines from which the Mined Material was produced are not located in Conflict Affected Areas and the Mined Material was not processed in or transported through Conflict Affected Areas."]
[]
[null,null,"Country/ies where Mined Material was extracted:"]
[]
[]
[]
[]
[null,null,"The mine from which the Mined Material was produced, the processing facility and/or the transportation routes for the Mined Material is located in a Conflict Affected Area. \n\nThe CoC Certified Mining company has conducted Due Diligence, a summary of which is attached, to confirm the production and transportation of the Mined Material did not finance or benefit any Illegal Armed Groups."]
[]
[]
[null,null,"Country/ies where Mined Material was extracted:"]
[]
[]
[]
[]
[null,"B: DRC and Adjoining Countries information for Dodd-Frank reporting \n    (To be completed by all other CoC Certified Entities with custody of Mined or Mixed Gold)"]
[null,"Please check one"]
[null,null,"Transfer does not include Gold from the DRC and Adjoining Countries."]
[]
[null,null,"Country/ies where Mined Material was extracted:"]
[]
[]
[]
[]
[null,null,"Transfer includes Gold from the DRC and Adjoining Countries and a summary of the required Due Diligence has been retained by the Refiner/s of the Gold."]
[]
[null,null,"Country/ies where Mined Material was extracted:"]
[]
[]
[null,null,"Refiner(s):"]

{"sheet":"Applicability Reference","index":15,"n_rows":16,"n_cols":7,"rows_kept":16,"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 "]

{"sheet":"Reference","index":16,"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"]

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["Calculation Sheet"]
["Do Not Delete"]
[]
[]
[null,{"$f":"'3a Assessment Questions'!B5:B6","v":"Chain of Custody Standard"},{"$f":"'3a 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,{"$f":"'3a Assessment Questions'!B6:B7","v":0},"Provision","Question",null,"Miners","Refiners","Retailers, Traders or Manufacturers",null,"Miners","Refiners General","Refiners Special (Regarding CoC TD)","Retailers, Traders or Manufacturers",null,"Miners","Refiners General","Refiners TOTAL (including CoC TD consideration)","Retailers, Traders or Manufacturers",null,"total","Yes or No","Applicable","Completed","Conditional Completion Reference",null,"Conformance","Minor Non-Conformance","Major Non-Conformance","Not Applicable",null,"CoC Standard","# Relevant Provisions","# Incomplete Provisions","# Completed Provisions","% Completed  Provisions","# Conformances","# Minor Non-Conformances","# Major Non-Conformances","# Not Applicable",null,null,null,null,null,null,null,"Gold","Platinum","Palladium","Rhodium"]
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[null,{"$f":"'3a Assessment Questions'!B8","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C8","v":0},{"$f":"IF('3a Assessment Questions'!E8=\"\",0,1)","v":0},null,{"$f":"F7","v":false},{"$f":"G7","v":false},{"$f":"H7","v":false},null,{"$f":"J7","v":"R"},"R",{"$f":"L7","v":"R"},"R",null,{"$f":"IF(J8=\"R\",TRUE,IF(AND(J8=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J8=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K8=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K8=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M8=\"R\",TRUE,IF(AND(M8=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M8=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M8=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,{"$f":"SUM(F8*O8,G8*Q8,H8*R8)","v":0},{"$f":"IF(T8<1,\"No\",\"Yes\")","v":"No"},null,null,0,null,null,null,null,null,null,"2    Internal Material Controls",0,"NA","NA","NA","NA","NA","NA","NA",null,null,null,null,null,null,"Mining By-product",false,false,false,false,null,false]
[null,{"$f":"'3a Assessment Questions'!B9","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C9","v":0},{"$f":"IF('3a Assessment Questions'!E9=\"\",0,1)","v":1},null,false,false,false,null,"R","R",{"$f":"L8","v":"R"},"R",null,{"$f":"IF(J9=\"R\",TRUE,IF(AND(J9=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J9=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K9=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K9=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M9=\"R\",TRUE,IF(AND(M9=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M9=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M9=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,"3    Outsourcing Contractors and Service Companies",0,"NA","NA","NA","NA","NA","NA","NA",null,null,null,null,null,null,"Recycled ",false,false,false,false,null,false,null,"IA2 : If Recycled Materials OR Mixed Materials are included in the CoC scope (either is TRUE), then Provision 5 applies for \"Retailers, Traders and Manufacturers\"."]
[null,{"$f":"'3a Assessment Questions'!B10","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C10","v":0},{"$f":"IF('3a Assessment Questions'!E10=\"\",0,1)","v":0},null,false,false,false,null,"R","R",{"$f":"L9","v":"R"},"R",null,{"$f":"IF(J10=\"R\",TRUE,IF(AND(J10=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J10=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K10=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K10=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M10=\"R\",TRUE,IF(AND(M10=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M10=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M10=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,"4    Eligible Mined Materials",0,"NA","NA","NA","NA","NA","NA","NA",null,null,null,null,null,null,"Grandfathered",false,false,false,false,null,false,null,"IA3 : If Grandfathered Materials OR Mixed Materials are included in the CoC scope (either is TRUE), then Provision 6 applies for \"Refiners\" and \"Retailers, Traders and Manufacturers\"."]
[null,{"$f":"'3a Assessment Questions'!B11","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C11","v":1.2},{"$f":"IF('3a Assessment Questions'!E11=\"\",0,1)","v":1},null,false,false,false,"x","R","R","R","R",null,{"$f":"IF(J11=\"R\",TRUE,IF(AND(J11=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J11=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K11=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K11=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M11=\"R\",TRUE,IF(AND(M11=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M11=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M11=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",{"$f":"IF(U11=\"Yes\",1,0)","v":0},{"$f":"IF('3a Assessment Questions'!N11=\"\",1,0)","v":1},0,null,{"$f":"IF('3a Assessment Questions'!$N11=Z$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N11=AA$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N11=AB$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N11=AC$6,1,0)","v":0},null,"5    Eligible Recycled Materials",0,"NA","NA","NA","NA","NA","NA","NA",null,null,null,null,null,null,"Mixed",false,false,false,false,null,false]
[null,{"$f":"'3a Assessment Questions'!B12","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C12","v":0},{"$f":"IF('3a Assessment Questions'!E12=\"\",0,1)","v":0},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J12=\"R\",TRUE,IF(AND(J12=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J12=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K12=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K12=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M12=\"R\",TRUE,IF(AND(M12=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M12=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M12=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,"6    Eligible Grandfathered Materials",0,"NA","NA","NA","NA","NA","NA","NA",null,null,null,null,null,null,"Sales at Recertification",{"$f":"IF($AZ$21<4,TRUE,IF('2 CoC Certification Scope'!G14=\"\",FALSE))","v":true},{"$f":"IF($AZ$21<4,TRUE,IF('2 CoC Certification Scope'!H14=\"\",FALSE))","v":true},{"$f":"IF($AZ$21<4,TRUE,IF('2 CoC Certification Scope'!I14=\"\",FALSE))","v":true},{"$f":"IF($AZ$21<4,TRUE,IF('2 CoC Certification Scope'!J14=\"\",FALSE))","v":true},null,true]
[null,{"$f":"'3a Assessment Questions'!B13","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C13","v":0},{"$f":"IF('3a Assessment Questions'!E13=\"\",0,1)","v":0},null,{"$f":"F12","v":false},{"$f":"G12","v":false},{"$f":"H12","v":false},null,{"$f":"J12","v":"R"},{"$f":"K12","v":"R"},{"$f":"L12","v":"R"},{"$f":"M12","v":"R"},null,{"$f":"IF(J13=\"R\",TRUE,IF(AND(J13=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J13=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K13=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K13=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(OR($AZ$17=TRUE,L13=\"R\"),P13,IF(AND($AZ$17=TRUE,L13=\"R\"),TRUE,FALSE))","v":true},{"$f":"IF(M13=\"R\",TRUE,IF(AND(M13=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M13=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M13=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,"7    Eligible Material Declarations",0,"NA","NA","NA","NA","NA","NA","NA",null,null,null,null,null,null,"CoC Scope Questions",null,null,null,null,null,"Applicability",null,"Notes"]
[null,{"$f":"'3a Assessment Questions'!B14","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C14","v":0},{"$f":"IF('3a Assessment Questions'!E14=\"\",0,1)","v":0},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J14=\"R\",TRUE,IF(AND(J14=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J14=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K14=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K14=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M14=\"R\",TRUE,IF(AND(M14=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M14=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M14=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,"8    Chain-of-Custody (CoC) Transfer Documents",0,"NA","NA","NA","NA","NA","NA","NA",null,null,null,null,null,null,"Outsourcing Contractor",null,null,null,null,null,{"$f":"IF('2 CoC Certification Scope'!G16=\"Yes\",TRUE)","v":false},null,"IA1: If Outsourcing Contractors are used (TRUE), then Provision 3 applies."]
[null,{"$f":"'3a Assessment Questions'!B15","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C15","v":1.3},{"$f":"IF('3a Assessment Questions'!E15=\"\",0,1)","v":1},null,false,false,false,"x","R","R","R","R",null,{"$f":"IF(J15=\"R\",TRUE,IF(AND(J15=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J15=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K15=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K15=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M15=\"R\",TRUE,IF(AND(M15=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M15=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M15=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",{"$f":"IF(U15=\"Yes\",1,0)","v":0},{"$f":"IF('3a Assessment Questions'!N15=\"\",1,0)","v":1},{"$f":"V15*W15","v":0},null,{"$f":"IF('3a Assessment Questions'!$N15=Z$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N15=AA$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N15=AB$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N15=AC$6,1,0)","v":0},null,"9    Consumer claims and Intellectual Property",0,"NA","NA","NA","NA","NA","NA","NA",null,null,null,null,null,null,"Eligible Declarations",null,null,null,null,null,{"$f":"IF('2 CoC Certification Scope'!G17=\"Yes\",TRUE)","v":false},null,"IA4: If Eligible Declarations are made (TRUE), then Provision 7 applies to \"Retailers, Traders and Manufacturers\"."]
[null,{"$f":"'3a Assessment Questions'!B16","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C16","v":0},{"$f":"IF('3a Assessment Questions'!E16=\"\",0,1)","v":0},null,false,false,false,null,{"$f":"J15","v":"R"},"R","R","R",null,{"$f":"IF(J16=\"R\",TRUE,IF(AND(J16=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J16=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K16=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K16=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M16=\"R\",TRUE,IF(AND(M16=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M16=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M16=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,"10  Conflict-SensitiveSourcing",0,"NA","NA","NA","NA","NA","NA","NA",null,null,null,null,null,null,"CoC claims to consumers",null,null,null,null,null,{"$f":"IF('2 CoC Certification Scope'!G18=\"Yes\",TRUE)","v":false},null,"IA5: Provisions 1, 4.2, 5 and, 9 and 10 require a response, where applicable."]
[null,{"$f":"'3a Assessment Questions'!B17","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C17","v":0},{"$f":"IF('3a Assessment Questions'!E17=\"\",0,1)","v":1},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J17=\"R\",TRUE,IF(AND(J17=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J17=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K17=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K17=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M17=\"R\",TRUE,IF(AND(M17=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M17=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M17=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,"TOTAL",{"$f":"SUM(AF7:AF16)","v":0},{"$f":"SUM(AG7:AG16)","v":0},{"$f":"SUM(AH7:AH16)","v":0},{"$f":"IF(AF17=0,\"NA\",AH17/AF17)","v":"NA"},{"$f":"SUM(AJ7:AJ16)","v":0},{"$f":"SUM(AK7:AK16)","v":0},{"$f":"SUM(AL7:AL16)","v":0},{"$f":"SUM(AM7:AM16)","v":0},null,null,null,null,null,null,"(Refiners Only) Has the Entity issued or intend to issue a CoC Transfer Document?",null,null,null,null,null,{"$f":"IF('2 CoC Certification Scope'!G19=\"Yes\",TRUE)","v":false},null,"NTD: If FALSE, then only Provisions 1, 4.2, 5 and, 9 and 10 require a response, where applicable."]
[null,{"$f":"'3a Assessment Questions'!B18","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C18","v":0},{"$f":"IF('3a Assessment Questions'!E18=\"\",0,1)","v":0},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J18=\"R\",TRUE,IF(AND(J18=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J18=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K18=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K18=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M18=\"R\",TRUE,IF(AND(M18=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M18=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M18=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"(Miners Only) Has the Entity issued or intend to issue a CoC Transfer Document?",null,null,null,null,null,{"$f":"IF('2 CoC Certification Scope'!G20=\"Yes\",TRUE)","v":false},null,"IA6: If Miners obtain Materials sourced externally from the Entity (TRUE), then Provision 10.2 applies to \"Miners\"."]
[null,{"$f":"'3a Assessment Questions'!B19","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C19","v":1.4},{"$f":"IF('3a Assessment Questions'!E19=\"\",0,1)","v":1},null,false,false,false,"x","R","R","R","R",null,{"$f":"IF(J19=\"R\",TRUE,IF(AND(J19=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J19=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K19=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K19=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M19=\"R\",TRUE,IF(AND(M19=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M19=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M19=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",{"$f":"IF(U19=\"Yes\",1,0)","v":0},{"$f":"IF('3a Assessment Questions'!N19=\"\",1,0)","v":1},0,null,{"$f":"IF('3a Assessment Questions'!$N19=Z$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N19=AA$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N19=AB$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N19=AC$6,1,0)","v":0},null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Material change to the CoC Certification Scope since the last assessment",null,null,null,null,null,{"$f":"IF('2 CoC Certification Scope'!G21=\"Yes\",TRUE)","v":false}]
[null,{"$f":"'3a Assessment Questions'!B20","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C20","v":0},{"$f":"IF('3a Assessment Questions'!E20=\"\",0,1)","v":0},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J20=\"R\",TRUE,IF(AND(J20=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J20=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K20=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K20=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M20=\"R\",TRUE,IF(AND(M20=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M20=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M20=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0]
[null,{"$f":"'3a Assessment Questions'!B21","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C21","v":0},{"$f":"IF('3a Assessment Questions'!E21=\"\",0,1)","v":0},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J21=\"R\",TRUE,IF(AND(J21=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J21=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K21=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K21=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M21=\"R\",TRUE,IF(AND(M21=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M21=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M21=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Assessment Type",null,null,null,null,null,1,null,"Used to determine report expectations"]
[null,{"$f":"'3a Assessment Questions'!B22","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C22","v":0},{"$f":"IF('3a Assessment Questions'!E22=\"\",0,1)","v":0},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J22=\"R\",TRUE,IF(AND(J22=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J22=\"IA2\", OR(Calculation!$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$14=TRUE),TRUE,IF(AND(K22=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K22=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M22=\"R\",TRUE,IF(AND(M22=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M22=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M22=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Self Assessment",1,{"$f":"AT22","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,{"$f":"'3a Assessment Questions'!B23","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C23","v":1.5},{"$f":"IF('3a Assessment Questions'!E23=\"\",0,1)","v":1},null,false,false,false,"x","R","R","R","R",null,{"$f":"IF(J23=\"R\",TRUE,IF(AND(J23=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J23=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J23=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K23=\"R\",TRUE,IF(AND(K23=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K23=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K23=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M23=\"R\",TRUE,IF(AND(M23=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M23=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M23=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",{"$f":"IF(U23=\"Yes\",1,0)","v":0},{"$f":"IF('3a Assessment Questions'!N23=\"\",1,0)","v":1},0,null,{"$f":"IF('3a Assessment Questions'!$N23=Z$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N23=AA$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N23=AB$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N23=AC$6,1,0)","v":0},null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Certification Audit",2,{"$f":"AT23","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,{"$f":"'3a Assessment Questions'!B24","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C24","v":0},{"$f":"IF('3a Assessment Questions'!E24=\"\",0,1)","v":0},null,false,false,false,null,{"$f":"J23","v":"R"},"R","R","R",null,{"$f":"IF(J24=\"R\",TRUE,IF(AND(J24=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J24=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J24=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K24=\"R\",TRUE,IF(AND(K24=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K24=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K24=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M24=\"R\",TRUE,IF(AND(M24=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M24=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M24=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Surveillance Audit",3,"Surveillance Audit","Select 'Yes' (from the drop down menu) if there have been any material change to the CoC Certification Scope since the previous Audit.","Please provide details of changes to the CoC Certification Scope since the previous Audit."]
[null,{"$f":"'3a Assessment Questions'!B25","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C25","v":0},{"$f":"IF('3a Assessment Questions'!E25=\"\",0,1)","v":0},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J25=\"R\",TRUE,IF(AND(J25=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J25=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J25=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K25=\"R\",TRUE,IF(AND(K25=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K25=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K25=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M25=\"R\",TRUE,IF(AND(M25=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M25=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M25=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Re-certification Audit",4,"Re-certification Audit","Select 'Yes' (from the drop down menu) if there have been any material change to the CoC Certification Scope since the previous Audit.","Please provide details of changes to the CoC Certification Scope since the previous Audit.","Please select (from the drop down menu on your right) your last total annual sales of the CoC Material by type.","Please select (below from the drop down menu) your last total annual sales of the CoC Material by source"]
[null,{"$f":"'3a Assessment Questions'!B26","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C26","v":0},{"$f":"IF('3a Assessment Questions'!E26=\"\",0,1)","v":0},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J26=\"R\",TRUE,IF(AND(J26=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J26=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J26=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K26=\"R\",TRUE,IF(AND(K26=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K26=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K26=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M26=\"R\",TRUE,IF(AND(M26=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M26=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M26=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0]
[null,{"$f":"'3a Assessment Questions'!B27","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C27","v":1.6},{"$f":"IF('3a Assessment Questions'!E27=\"\",0,1)","v":1},null,false,false,false,"x","R","R","R","R",null,{"$f":"IF(J27=\"R\",TRUE,IF(AND(J27=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J27=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J27=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K27=\"R\",TRUE,IF(AND(K27=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K27=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K27=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M27=\"R\",TRUE,IF(AND(M27=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M27=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M27=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",{"$f":"IF(U27=\"Yes\",1,0)","v":0},{"$f":"IF('3a Assessment Questions'!N27=\"\",1,0)","v":1},0,null,{"$f":"IF('3a Assessment Questions'!$N27=Z$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N27=AA$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N27=AB$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N27=AC$6,1,0)","v":0}]
[null,{"$f":"'3a Assessment Questions'!B28","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C28","v":0},{"$f":"IF('3a Assessment Questions'!E28=\"\",0,1)","v":0},null,false,false,false,null,{"$f":"J27","v":"R"},"R","R","R",null,{"$f":"IF(J28=\"R\",TRUE,IF(AND(J28=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J28=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J28=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K28=\"R\",TRUE,IF(AND(K28=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K28=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K28=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M28=\"R\",TRUE,IF(AND(M28=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M28=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M28=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"CoC Standard Provisions ","Miners ","Refiners","Manufacturers, Traders or Retailers",null,null,"Entity Sector"]
[null,{"$f":"'3a Assessment Questions'!B29","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C29","v":0},{"$f":"IF('3a Assessment Questions'!E29=\"\",0,1)","v":0},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J29=\"R\",TRUE,IF(AND(J29=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J29=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J29=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K29=\"R\",TRUE,IF(AND(K29=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K29=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K29=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M29=\"R\",TRUE,IF(AND(M29=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M29=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M29=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Chain-of-Custody Management","1. Management Systems","Required"]
[null,{"$f":"'3a Assessment Questions'!B30","v":"1    Management System and Responsibilities"},{"$f":"'3a Assessment Questions'!C30","v":0},{"$f":"IF('3a Assessment Questions'!E30=\"\",0,1)","v":0},null,false,false,false,null,"R","R","R","R",null,{"$f":"IF(J30=\"R\",TRUE,IF(AND(J30=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J30=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J30=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K30=\"R\",TRUE,IF(AND(K30=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K30=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K30=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},true,{"$f":"IF(M30=\"R\",TRUE,IF(AND(M30=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M30=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M30=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"2. Internal Material Controls ","Required",null,null,null,null,"New Eligible Materials (Please update section 2.1)"]
[null,{"$f":"'3a Assessment Questions'!B31","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C31","v":2.1},{"$f":"IF('3a Assessment Questions'!E31=\"\",0,1)","v":1},null,false,false,false,"x","R","R","NTD","R",null,{"$f":"IF(J31=\"R\",TRUE,IF(AND(J31=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J31=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J31=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K31=\"R\",TRUE,IF(AND(K31=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K31=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K31=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M31=\"R\",TRUE,IF(AND(M31=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M31=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M31=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",{"$f":"IF(U31=\"Yes\",1,0)","v":0},{"$f":"IF('3a Assessment Questions'!N31=\"\",1,0)","v":1},0,null,{"$f":"IF('3a Assessment Questions'!$N31=Z$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N31=AA$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N31=AB$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N31=AC$6,1,0)","v":0},null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"3. Outsourcing Contractors ","If applicable (IA1)"]
[null,{"$f":"'3a Assessment Questions'!B32","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C32","v":0},{"$f":"IF('3a Assessment Questions'!E32=\"\",0,1)","v":0},null,false,false,false,null,{"$f":"J31","v":"R"},"R","NTD","R",null,{"$f":"IF(J32=\"R\",TRUE,IF(AND(J32=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J32=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J32=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K32=\"R\",TRUE,IF(AND(K32=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K32=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K32=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M32=\"R\",TRUE,IF(AND(M32=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M32=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M32=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Systems to Confirm Eligibility of Material ","4. Eligible Mined Materials","Required","Not applicable",null,null,null,"New Facilities"]
[null,{"$f":"'3a Assessment Questions'!B33","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C33","v":0},{"$f":"IF('3a Assessment Questions'!E33=\"\",0,1)","v":1},null,false,false,false,null,"R","R","NTD","R",null,{"$f":"IF(J33=\"R\",TRUE,IF(AND(J33=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J33=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J33=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K33=\"R\",TRUE,IF(AND(K33=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K33=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K33=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M33=\"R\",TRUE,IF(AND(M33=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M33=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M33=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"5. Eligible Recycled Materials ","Not applicable","Required","If applicable (IA2)"]
[null,{"$f":"'3a Assessment Questions'!B34","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C34","v":0},{"$f":"IF('3a Assessment Questions'!E34=\"\",0,1)","v":0},null,false,false,false,null,"R","R","NTD","R",null,{"$f":"IF(J34=\"R\",TRUE,IF(AND(J34=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J34=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J34=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K34=\"R\",TRUE,IF(AND(K34=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K34=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K34=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M34=\"R\",TRUE,IF(AND(M34=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M34=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M34=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"6. Eligible Grandfathered Materials ","Not applicable","If applicable (IA3)",null,null,null,"New Outsourcing Contractors"]
[null,{"$f":"'3a Assessment Questions'!B35","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C35","v":2.2000000000000002},{"$f":"IF('3a Assessment Questions'!E35=\"\",0,1)","v":1},null,false,false,false,"x","R","R","NTD","R",null,{"$f":"IF(J35=\"R\",TRUE,IF(AND(J35=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J35=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J35=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K35=\"R\",TRUE,IF(AND(K35=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K35=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K35=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M35=\"R\",TRUE,IF(AND(M35=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M35=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M35=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",{"$f":"IF(U35=\"Yes\",1,0)","v":0},{"$f":"IF('3a Assessment Questions'!N35=\"\",1,0)","v":1},0,null,{"$f":"IF('3a Assessment Questions'!$N35=Z$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N35=AA$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N35=AB$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N35=AC$6,1,0)","v":0},null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Issuing Chain-of-Custody Documentation ","7. Eligible Materials Declarations ","Required",null,"If applicable (IA4)"]
[null,{"$f":"'3a Assessment Questions'!B36","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C36","v":0},{"$f":"IF('3a Assessment Questions'!E36=\"\",0,1)","v":0},null,false,false,false,null,{"$f":"J35","v":"R"},"R","NTD","R",null,{"$f":"IF(J36=\"R\",TRUE,IF(AND(J36=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J36=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J36=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K36=\"R\",TRUE,IF(AND(K36=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K36=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K36=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M36=\"R\",TRUE,IF(AND(M36=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M36=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M36=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"8. CoC Transfer Documents ","Required"]
[null,{"$f":"'3a Assessment Questions'!B37","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C37","v":0},{"$f":"IF('3a Assessment Questions'!E37=\"\",0,1)","v":0},null,false,false,false,null,"R","R","NTD","R",null,{"$f":"IF(J37=\"R\",TRUE,IF(AND(J37=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J37=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J37=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K37=\"R\",TRUE,IF(AND(K37=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K37=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K37=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M37=\"R\",TRUE,IF(AND(M37=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M37=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M37=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"9. Consumer Claims and IP","If applicable (IA5)"]
[null,{"$f":"'3a Assessment Questions'!B38","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C38","v":0},{"$f":"IF('3a Assessment Questions'!E38=\"\",0,1)","v":0},null,false,false,false,null,"R","R","NTD","R",null,{"$f":"IF(J38=\"R\",TRUE,IF(AND(J38=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J38=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J38=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K38=\"R\",TRUE,IF(AND(K38=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K38=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K38=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M38=\"R\",TRUE,IF(AND(M38=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M38=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M38=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"Conflict-Sensitive Sourcing ","10.1 Supply chain policy ","Required"]
[null,{"$f":"'3a Assessment Questions'!B39","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C39","v":2.2999999999999998},{"$f":"IF('3a Assessment Questions'!E39=\"\",0,1)","v":1},null,false,false,false,"x","R","R","NTD","R",null,{"$f":"IF(J39=\"R\",TRUE,IF(AND(J39=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J39=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J39=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K39=\"R\",TRUE,IF(AND(K39=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K39=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K39=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M39=\"R\",TRUE,IF(AND(M39=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M39=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M39=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",{"$f":"IF(U39=\"Yes\",1,0)","v":0},{"$f":"IF('3a Assessment Questions'!N39=\"\",1,0)","v":1},0,null,{"$f":"IF('3a Assessment Questions'!$N39=Z$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N39=AA$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N39=AB$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N39=AC$6,1,0)","v":0},null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"10.2 Policy non-compliance","If applicable (IA6)","Required"]
[null,{"$f":"'3a Assessment Questions'!B40","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C40","v":0},{"$f":"IF('3a Assessment Questions'!E40=\"\",0,1)","v":0},null,false,false,false,null,{"$f":"J39","v":"R"},"R","NTD","R",null,{"$f":"IF(J40=\"R\",TRUE,IF(AND(J40=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J40=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J40=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K40=\"R\",TRUE,IF(AND(K40=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K40=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K40=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M40=\"R\",TRUE,IF(AND(M40=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M40=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M40=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"10.3 Complaints Mechanism ","Required"]
[null,{"$f":"'3a Assessment Questions'!B41","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C41","v":0},{"$f":"IF('3a Assessment Questions'!E41=\"\",0,1)","v":0},null,false,false,false,null,"R","R","NTD","R",null,{"$f":"IF(J41=\"R\",TRUE,IF(AND(J41=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J41=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J41=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K41=\"R\",TRUE,IF(AND(K41=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K41=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K41=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M41=\"R\",TRUE,IF(AND(M41=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M41=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M41=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,null,"10.4 Gold Refiners","Not applicable ","Required","Not applicable "]
[null,{"$f":"'3a Assessment Questions'!B42","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C42","v":0},{"$f":"IF('3a Assessment Questions'!E42=\"\",0,1)","v":0},null,false,false,false,null,"R","R","NTD","R",null,{"$f":"IF(J42=\"R\",TRUE,IF(AND(J42=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J42=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J42=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K42=\"R\",TRUE,IF(AND(K42=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K42=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K42=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M42=\"R\",TRUE,IF(AND(M42=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M42=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M42=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0]
[null,{"$f":"'3a Assessment Questions'!B43","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C43","v":2.4},{"$f":"IF('3a Assessment Questions'!E43=\"\",0,1)","v":1},null,false,false,false,"x","R","R","NTD","R",null,{"$f":"IF(J43=\"R\",TRUE,IF(AND(J43=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J43=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J43=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K43=\"R\",TRUE,IF(AND(K43=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K43=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K43=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M43=\"R\",TRUE,IF(AND(M43=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M43=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M43=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",{"$f":"IF(U43=\"Yes\",1,0)","v":0},{"$f":"IF('3a Assessment Questions'!N43=\"\",1,0)","v":1},0,null,{"$f":"IF('3a Assessment Questions'!$N43=Z$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N43=AA$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N43=AB$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N43=AC$6,1,0)","v":0}]
[null,{"$f":"'3a Assessment Questions'!B44","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C44","v":0},{"$f":"IF('3a Assessment Questions'!E44=\"\",0,1)","v":0},null,false,false,false,null,{"$f":"J43","v":"R"},"R","NTD","R",null,{"$f":"IF(J44=\"R\",TRUE,IF(AND(J44=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J44=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J44=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K44=\"R\",TRUE,IF(AND(K44=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K44=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K44=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M44=\"R\",TRUE,IF(AND(M44=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M44=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M44=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0]
[null,{"$f":"'3a Assessment Questions'!B45","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C45","v":0},{"$f":"IF('3a Assessment Questions'!E45=\"\",0,1)","v":1},null,false,false,false,null,"R","R","NTD","R",null,{"$f":"IF(J45=\"R\",TRUE,IF(AND(J45=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J45=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J45=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K45=\"R\",TRUE,IF(AND(K45=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K45=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K45=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(OR($AZ$17=TRUE,L45=\"R\"),P45,IF(AND($AZ$17=TRUE,L45=\"R\"),TRUE,FALSE))","v":false},{"$f":"IF(M45=\"R\",TRUE,IF(AND(M45=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M45=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M45=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0]
[null,{"$f":"'3a Assessment Questions'!B46","v":"2    Internal Material Controls"},{"$f":"'3a Assessment Questions'!C46","v":0},{"$f":"IF('3a Assessment Questions'!E46=\"\",0,1)","v":0},null,false,false,false,null,"R","R","NTD","R",null,{"$f":"IF(J46=\"R\",TRUE,IF(AND(J46=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J46=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J46=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},{"$f":"IF(K46=\"R\",TRUE,IF(AND(K46=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K46=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K46=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},false,{"$f":"IF(M46=\"R\",TRUE,IF(AND(M46=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M46=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M46=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":true},null,0,"No",null,null,0]
[null,{"$f":"'3a Assessment Questions'!B47","v":"3    Outsourcing Contractors and Service Companies"},{"$f":"'3a Assessment Questions'!C47","v":3.1},{"$f":"IF('3a Assessment Questions'!E47=\"\",0,1)","v":1},null,false,false,false,"x","IA1","IA1","NTD","IA1",null,{"$f":"IF(J47=\"R\",TRUE,IF(AND(J47=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J47=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J47=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":false},{"$f":"IF(K47=\"R\",TRUE,IF(AND(K47=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K47=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K47=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":false},false,{"$f":"IF(M47=\"R\",TRUE,IF(AND(M47=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M47=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M47=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":false},null,0,"No",{"$f":"IF(U47=\"Yes\",1,0)","v":0},{"$f":"IF('3a Assessment Questions'!N47=\"\",1,0)","v":1},0,null,{"$f":"IF('3a Assessment Questions'!$N47=Z$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N47=AA$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N47=AB$6,1,0)","v":0},{"$f":"IF('3a Assessment Questions'!$N47=AC$6,1,0)","v":0}]
[null,{"$f":"'3a Assessment Questions'!B48","v":"3    Outsourcing Contractors and Service Companies"},{"$f":"'3a Assessment Questions'!C48","v":0},{"$f":"IF('3a Assessment Questions'!E48=\"\",0,1)","v":0},null,false,false,false,null,{"$f":"J47","v":"IA1"},"IA1","NTD","IA1",null,{"$f":"IF(J48=\"R\",TRUE,IF(AND(J48=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J48=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J48=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":false},{"$f":"IF(K48=\"R\",TRUE,IF(AND(K48=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K48=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K48=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":false},false,{"$f":"IF(M48=\"R\",TRUE,IF(AND(M48=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M48=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M48=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":false},null,0,"No",null,null,0]
[null,{"$f":"'3a Assessment Questions'!B49","v":"3    Outsourcing Contractors and Service Companies"},{"$f":"'3a Assessment Questions'!C49","v":0},{"$f":"IF('3a Assessment Questions'!E49=\"\",0,1)","v":0},null,false,false,false,null,"IA1","IA1","NTD","IA1",null,{"$f":"IF(J49=\"R\",TRUE,IF(AND(J49=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(J49=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(J49=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":false},{"$f":"IF(K49=\"R\",TRUE,IF(AND(K49=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(K49=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(K49=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":false},false,{"$f":"IF(M49=\"R\",TRUE,IF(AND(M49=\"IA1\",Calculation!$AZ$14=TRUE),TRUE,IF(AND(M49=\"IA2\", OR(Calculation!$AZ$9=TRUE,Calculation!$AZ$11=TRUE)),TRUE,IF(AND(M49=\"IA3\", OR(Calculation!$AZ$10=TRUE,Calculation!$AZ$11=TRUE)),TRUE))))","v":false},null,0,"No",null,null,0]
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{"sheet":"Revision Status","index":18,"n_rows":18,"n_cols":3,"rows_kept":18,"cut":false,"hidden":true,"merged":[]}
[]
[]
[]
[]
[]
["Chain Of Custody Assessment Toolkit (T008_2012)"]
["Revision Status"]
[]
[]
["Date","Revision","Comment/Change Summary"]
["2012-02-01","A","First Draft for Comment"]
["2012-03-05",0,"Issue for release"]
["2012-03-15",0.1,"1. Minor correction to the first bullet in question 28.  Addition to the bullet point as shown in bold italics font below:\n             • Mined or Mining Byproduct, in conformance with provision 4 of this Standard; or \n\n2. Added the following bullet to the evidence examples for question 28, 29 and 30:\n             • Records of compliance with other relevant initiatives, such as EICC Free Smelter/Refiner Validation the LBMA Responsible Gold Guidance."]
["2013-08-10",0.2,"Minor Revisions to activate an inoperative Macro on the Certification Scope worksheet."]
["2013-09-06",0.3,"Minor Revisions to include provisions 3.1 and 3.2 even if Outsourcing Contractors are not used, to accommodate use of service providers."]
["2013-09-15",0.4,"Minor Revisions to include provisions 4.1 and 4.2 for Refiners."]
["2015-06-15",0.5,"Minor revision to correct filters on Certificationn Scope worksheet."]
["2018-06-19",0.6,"Revision to macro in Worksheet 2 CoC Certification Scope used to filter relevant sections."]