Responsible Raw Materials Initiative

Downstream Audit Program

Over the past year, the CFSI has been approached by multiple companies within the tin, tantalum, tungsten and gold supply chains who seek validation of their sourcing practices yet are not eligible to participate in the Conflict Free Smelter Program (CFSP) as they do not meet the definition of a smelter/refiner. These companies are increasingly requested by their customers to demonstrate their responsible sourcing practices are aligned with the OECD Due Diligence Guidance for Responsible Mineral Supply Chains from Conflict-Affected or High-Risk Areas, and to provide validated information about their due diligence activities. To address this emerging request, the CFSI worked with a multi-stakeholder team of CFSI members, smelters, and downstream processing facilities, to design and launch a pilot program that provides an independent validation of companies’ sourcing practices outside of the CFSP audit process. The program was launched in April 2016 with six companies that chose to voluntarily participate in the assessment process.

The CFSI hosted a webinar providing an overview of the new downstream program on December 8, 2016. You may access a recording of the webinar hereThe presentation slides are also available here.

Downstream Program Participants

Who is Eligible?

Companies that fall within the following categories are eligible for participating in this program:

  • PROCESSOR: Companies who procure tantalum, tin, tungsten or gold (3TG) products to transform, process or otherwise treat the material and that are not considered a “smelter” or “refiner” according to the applicable CFSP Audit Protocol.

  • TRADER: Companies trading in materials where the material traded is in the same chemical and physical state as received.

  • MANUFACTURER: Companies who source 3TG products indirectly from smelters or refineries, regardless of the number of tier levels between the company and the smelter / refiner.


Provide a mechanism for downstream companies to obtain independent validation of responsible sourcing practices, including that:

  • The company’s due diligence system is designed and implemented in accordance with the OECD Due Diligence Guidance;

  • There is no reason to believe goods directly or indirectly financed or benefited armed groups that are perpetrators of serious human rights abuses in the DRC or an adjoining country; and

  • All sources of 3TG are identified and confirmed to be:

    • Scrap or recycled material; and/or

    • Conflict-Free Smelter Program (CFSP) or equivalent validated companies.

The extent to which each process is reviewed is tailored according to the type of company.

Process ReviewedMineral ProcessorsTradersManufacturing/Assembly
Determination of Scope   x x
Supplier Management x x  
Supply Chain Transparency x x x
Due Diligence x x x
CMRT x x x

What is Assessed?

The audit is carried out against the OECD Due Diligence Guidance for Responsible Mineral Supply Chains from Conflict-Affected and High-Risk Areas. The audit follows the ISO19011:2011 standard for management systems audits to assess a company’s processes to:

  • Determine the products and suppliers included in the effort to identify smelters and refineries in the supply chain to confirm that the scope is correctly defined

  • Select, approve and monitor suppliers of 3TG or products containing 3TG

  • Monitor transactions of 3TG received and to maintain adequate documentation to confirm the origin of 3TG or 3TG containing product

  • Identify, assess, and manage risks in the 3TG supply chain in line with the OECD Due Diligence Guidance

  • Develop and review reporting tools, including the Conflict Minerals Reporting Template (CMRTs)

What are the benefits of participating?

  • Consolidates reporting requirements within the downstream by making the auditing and reporting process more streamlined.

  • External review of supply chain due diligence program, which provides an assessment of:

    • The scope of the program;

    • The design and effectiveness of due diligence activities;

    • The accuracy of reporting to customers;

  • Full Audit Report, including all information pertaining to the audit;

  • Audit Summary Report that can be shared with interested customers or made public (confidential information redacted);

  • Public listing via an online and publicly accessible CFSI registry, which lists companies that have passed the audit;

  • Relevance for companies importing 3TG-containing products into the EU in light of the new EU Directive on Conflict Minerals, which requires mandatory due diligence for importers of minerals and metals of 3TG.

  • Demonstrate year on year improvement of due diligence for your company

Program Documents

  • Audit Agenda Template to provide a generic layout of audit activities
  • Audit Guidance provides detailed information for companies wishing to undergo an audit and should be used for audit preparation
  • Pre-Audit Questionnaire to gather basic information to determine the scope of the audit and identify the correct location for the auditor to visit.
  • Audit Questionnaire ( Manufacturers | Processors ) to ensure the consistent implementation of the audit process.
  • Audit Report ( Manufacturers | Processors | Traders ) containing full results and details of audit, designed for internal use
  • Audit Summary Report ( Manufacturers | Processors | Traders ) summarizing the audit process and results, confidential information removed, designed to be shared publically or with customers
  • Corrective Action Plan based on a standardized scoring matrix defining risk levels, type of non-compliances, timeframes for corrective actions as well as basic corrective actions to be taken.

How do I Learn More?

For more information about the program or to apply, please contact Hillary Amster at