tracing a path forward - attachment 3

8/9/2019 Tracing a Path Forward - Attachment 3

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EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)

EICC and GeSI members have expressed a commitment to taking steps to enhance social and

environmental performance related to the supply chain for minerals used in the products of members

companies. This research project will investigate the supply chain for tin, tantalum, and cobalt used in

electronics. The purpose is to 1) create a picture of the electronics supply chain for these metals; 2)

ascertain whether companies in the supply chain have codes of conduct addressing social,environmental, health, and labor issues; and 3) identify the challenges of collecting this data and

consider ways to enhance and maintain transparency of the supply chain.

The goal is to create a transparent and understandable representation without identifying

customer/supplier relationships or business termscommercial relationships and terms will be held in

confidence.

Please fill out the information (15+ questions) in this survey and submit at your earliest convenience. If

you have questions about this survey, please contact Jennifer Peyser at RESOLVE ([email protected],

+1 202-965-6215). Thank you in advance for your time.

For some questions, you will be asked to email documentation (e.g., codes of conduct) to RESOLVE.

Please send all documents to Jason Gershowitz at RESOLVE ([email protected]).

For the purposes of this research project we are focused on products made with or containing cobalt

that EICC/GeSI members purchase from or supply to you.

1.Instructions


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1. Please provide the follow ing information:

2. What type of operation(s) is your company? If you select more than one

operation , please explain. Please note w hich operation type you w ould l ikeyour company to be classified as in RESOLVEs supply chain mapping.

Current supply chain maps can be found on the EICC-GeSI P roject Wiki

http:/ / eicc-gesi.resolv.w ikispaces.net/ Supply+Chain+Visuals

2.Survey

*Company Name:

Company Address:

Name of person filling

out form:

Email address of

person filling out form:

Phone number of

person filling out form:

Do you provide

recycled cobalt?

(Yes/No):

*

Component Manufacturer

gfedc

Shaper

gfedc

Refiner

gfedc

Smelter

gfedc

Trader

gfedc

Distributer

gfedc

Other

gfedc

Comptoir

gfedc

Negociant

gfedc

Artisinal Mine

gfedc

Mine

gfedc

Please note which operation type you would like your company to be classified as in RESOLVEs supply chain

mapping.

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3. Customer A: P lease fill out all boxes below for one of your cus tomers of

cobalt or materials containing cobalt. The goal of this research is to create a

transparent and understandable representation w ithout identifying

customer/ supplier relationships or business terms - commercial

relationships and terms w ill be held in confidence.

Insertn/ a for customer tiers that do not apply, or w here the supply chain

ends.

Insert the broker company name as the customer, if applicable.

Insert a question mark (?) for the information that you do not have or

cannot obtain.

Insert an exclamation point (" !") next to the information that is confidential.

4. What type of operation is Customer A?

3.Survey: Customer Information

*

Customer CompanyName:

Customer Company

Headquarters Mailing

Address:

Customer Point of

Contact (Name, phone

number, email

address):

Name of Facility/Mine:

Mailing Address of

Facility/Mine:

*Component Manufacturer

gfedc

Shaper

gfedc

Refiner

gfedc

Smelter

gfedc

Trader

gfedc

Distributer

gfedc

Comptoir

gfedc

Negociant

gfedc

Artisinal Mine

gfedc

Mine

gfedc

Other (please specify)

gfedc


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5. Do you have add itional customers of materials that contain cobalt?*

Ye s

nmlkj

No

nmlkj


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6. Customer B: P lease fill out all boxes below for one of your customers of






ends.



cannot obtain.


7. What type of operation is Customer B?

4.Survey: Customer Information, Continued

*


Customer Company


Address:

Customer Point of


number, email

address):


Mailing Address of

Facility/Mine:


gfedc

Shaper

gfedc

Refiner

gfedc

Smelter

gfedc

Trader

gfedc

Distributer

gfedc

Comptoir

gfedc

Negociant

gfedc

Artisinal Mine

gfedc

Mine

gfedc


gfedc


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8. Do you have add itional customers of materials that contain cobalt?*

Ye s

nmlkj

No

nmlkj


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9. Customer C: Please fill out all boxes below for one of your customers o f






ends.



cannot obtain.


10. What type of operation is Customer C?


*


Customer Company


Address:

Customer Point of


number, email

address):


Mailing Address of

Facility/Mine:


gfedc

Shaper

gfedc

Refiner

gfedc

Smelter

gfedc

Trader

gfedc

Distributer

gfedc

Comptoir

gfedc

Negociant

gfedc

Artisinal Mine

gfedc

Mine

gfedc


gfedc


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11. Do you have additional customers o f materials that contain cobalt? *

Ye s

nmlkj

No

nmlkj


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12. Customer D: Please fill out all boxes below for one of your customers of






ends.



cannot obtain.


13. What type of operation is Customer D?


*


Customer Company


Address:

Customer Point of


number, email

address):


Mailing Address of

Facility/Mine:


gfedc

Shaper

gfedc

Refiner

gfedc

Smelter

gfedc

Trader

gfedc

Distributer

gfedc

Comptoir

gfedc

Negociant

gfedc

Artisinal Mine

gfedc

Mine

gfedc


gfedc


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Ye s

nmlkj

No

nmlkj


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15. Customer E: P lease fill out all boxes below for one of your customers of






ends.



cannot obtain.


16. What type of operation is Customer E?


*


Customer Company


Address:

Customer Point of


number, email

address):


Mailing Address of

Facility/Mine:


gfedc

Shaper

gfedc

Refiner

gfedc

Smelter

gfedc

Trader

gfedc

Distributer

gfedc

Comptoir

gfedc

Negociant

gfedc

Artisinal Mine

gfedc

Mine

gfedc


gfedc


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Ye s

nmlkj

No

nmlkj


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18. Customer F: Please fill out all boxes below for one of your cus tomers of






ends.



cannot obtain.


19. What type of operation is Customer F?


*


Customer Company


Address:

Customer Point of


number, email

address):


Mailing Address of

Facility/Mine:

*

Component Manufacturer

gfedc

Shaper

gfedc

Refiner

gfedc

Smelter

gfedc

Trader

gfedc

Distributer

gfedc

Comptoir

gfedc

Negociant

gfedc

Artisinal Mine

gfedc

Mine

gfedc


gfedc


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20. Are you w il l ing to ask that your customer(s) cooperate w ith RESOLVE

and EICC/ GeSI as we take the next step in this research and request

similar information from them?

21. Please explain or note any questions about contacting your customers:

9.Survey, continued

*

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66

Ye s

nmlkj

No

nmlkj


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22. Does your company have a code of conduct, standards or requirements

in place that address human righ ts, conflict, and environmental, social,

economic and/ or labor issues?

If you have a code of conduct in please, please email a copy to Jason

Gershowitz at RESOLVE: jgershow [email protected].

23. If, as a member of a trade association you subscribe to any codes of

conduct, standards, or requirements on the issues listed above, please notethis below and email any relevant documents or resources to Jason

Gershowitz at RESOLVE (jgershow [email protected]).

24. Are there any issues of concern on w hich your company is particularly

focused ( e.g., child labor, fair trade, funding con flict, etc.) and w ould like to

address through an assurance mechanism?

10.Survey, continued

*

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66

*

Ye s

nmlkj

No

nmlkj

If you do not have codes of conduct in place, a re you willing to consider putting such a mechanism in place in the

future? Please explain.

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66

Ye s

nmlkj

No

nmlkj

If yes, please describe the issue(s) of concern and the by which your company tracks and verifies the issue(s).

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25. Do you require that your customers have such a code of conduct,

standards , or requirements in place?

26. P lease describe any mechanism(s) (e.g., supplier auditing, corporate

social responsibility report, investor report, government reporting) that you

institute to provide evidence of customer comp liance w ith these codes of

conduct, standards, or requirements, either directly or through a trade

association or voluntary initiatives.

27. Are the mechanisms or reports described above publicly available?


*

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66

*

Ye s

nmlkj

No

nmlkj

If you answered "Yes" to the above question, please email a copy of the code of conduct you require for your

customers, or any related documentation to Jason Gershowitz at RESOLVE([email protected]), and describe the

document(s) below:

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66

Ye s

nmlkj

No

nmlkj

If yes, please describe below how and where the information is accessible to the public. If you answered no, are you

willing to consider putting such a mechanism in place in the future? Please explain.

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28. Have you undertaken any supply chain aud it activities in the past?


*

Ye s

nmlkj

No

nmlkj


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29. For past audit activities, please share the fo llow ing:

30. W hat did your company learn about from past audits?


Name of audit:

Company/Organization

that managed theaudit:

Date(s) of audit:

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Please be sure to send any documentation related to this project to Jason Gershowitz at RESOLVE

([email protected]).

Documents could include:

- Your company's code(s) of conduct- Code(s) of conduct you require of your customers

- Publicly available reports or audits

- Other documents related to human rights, conflict, environmental, social, economic, and labor that describe your

company's approach to these issues.

Thank you very much for your participation in this survey.

14.Survey - Thank you


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