GeSI EICC Extractives Supply Chain Transparency Study Request

1. Instructions

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 terms—commercial 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 (jpeyser@resolv.org,
+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 (jgershowitz@resolv.org).

For the purposes of this research project we are focused on the following products, made with cobalt
that EICC/GeSI members purchase from you: batteries and magnetic recording media.
GeSI EICC Extractives Supply Chain Transparency Study Request
2. Survey

* 1. Please provide the following information:

Company Name:

Company Address:

Name of person filling

out form:

Email address of
person filling out form:

Phone number of
person filling out form:
GeSI EICC Extractives Supply Chain Transparency Study Request
3. Survey: Supplier Information

* 2. Supplier A: Please fill out all boxes below for one of your suppliers of
cobalt or components containing cobalt (batteries and magnetic recording
media). The goal of this research is to create a transparent and
understandable representation without identifying customer/supplier
relationships or business terms - commercial relationships and terms will be
held in confidence.
Insert “n/a” for supplier tiers that do not apply, or where the supply chain
ends.
Insert the broker company name as the supplier, 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.
Supplier Company
Name:
Supplier Company
Headquarters Mailing
Address:

Supplier Point of
Contact (Name, phone
number, email
address):

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

Does this facility

provide you with
recycled cobalt?
(Yes/No):
GeSI EICC Extractives Supply Chain Transparency Study Request
* 3. What type of operation is Supplier A?
c
d
e
f
g Component Manufacturer

c
d
e
f
g Shaper

c
d
e
f
g Refiner

c
d
e
f
g Smelter

c
d
e
f
g Trader

c
d
e
f
g Distributer

c
d
e
f
g Comptoir

c
d
e
f
g Negociant

c
d
e
f
g Artisinal Mine

c
d
e
f
g Mine

c
d
e
f
g Other (please specify)

4. Do you have additional suppliers of components or materials that contain

cobalt?

j
k
l
m
n Yes

j
k
l
m
n No
GeSI EICC Extractives Supply Chain Transparency Study Request
4. Survey: Supplier Information, continued

* 5. Supplier B:
Please fill out all boxes below for one of your suppliers of cobalt or
components containing cobalt (batteries and magnetic recording media).
The goal of this research is to create a transparent and understandable
representation without identifying customer/supplier relationships or
business terms - commercial relationships and terms will be held in
confidence.
Insert “n/a” for supplier tiers that do not apply, or where the supply chain
ends.
Insert the broker company name as the supplier, 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.
Supplier Company
Name:

Supplier Company
Headquarters Mailing
Address:

Supplier Point of
Contact (Name, phone
number, email
address):

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

Does this facility

provide you with
recycled cobalt?
(Yes/No):
GeSI EICC Extractives Supply Chain Transparency Study Request
6. What type of operation is Supplier B?
c
d
e
f
g Component Manufacturer

c
d
e
f
g Shaper

c
d
e
f
g Refiner

c
d
e
f
g Smelter

c
d
e
f
g Trader

c
d
e
f
g Distributer

c
d
e
f
g Comptoir

c
d
e
f
g Negociant

c
d
e
f
g Artisinal Mine

c
d
e
f
g Mine

Other (please specify)

7. Do you have additional suppliers of components or materials that contain

cobalt?
j
k
l
m
n Yes

j
k
l
m
n No
GeSI EICC Extractives Supply Chain Transparency Study Request
5. Survey: Supplier Information, continued

* 8. Supplier C:
Please fill out all boxes below for one of your suppliers of cobalt or
components containing cobalt (batteries and magnetic recording media).
The goal of this research is to create a transparent and understandable
representation without identifying customer/supplier relationships or
business terms - commercial relationships and terms will be held in
confidence.
Insert “n/a” for supplier tiers that do not apply, or where the supply chain
ends.
Insert the broker company name as the supplier, 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.
Supplier Company
Name:

Supplier Company
Headquarters Mailing
Address:

Supplier Point of
Contact (Name, phone
number, email
address):

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

Does this facility

provide you with
recycled cobalt?
(Yes/No):
GeSI EICC Extractives Supply Chain Transparency Study Request
9. What type of operation is Supplier C?
c
d
e
f
g Component Manufacturer

c
d
e
f
g Shaper

c
d
e
f
g Refiner

c
d
e
f
g Smelter

c
d
e
f
g Trader

c
d
e
f
g Distributer

c
d
e
f
g Comptoir

c
d
e
f
g Negociant

c
d
e
f
g Artisinal Mine

c
d
e
f
g Mine

Other (please specify)

10. Do you have additional suppliers of components or materials that

contain cobalt?
j
k
l
m
n Yes

j
k
l
m
n No
GeSI EICC Extractives Supply Chain Transparency Study Request
6. Survey: Supplier Information, continued

* 11. Supplier D:
Please fill out all boxes below for one of your suppliers of cobalt or
components containing cobalt (batteries and magnetic recording media).
The goal of this research is to create a transparent and understandable
representation without identifying customer/supplier relationships or
business terms - commercial relationships and terms will be held in
confidence.
Insert “n/a” for supplier tiers that do not apply, or where the supply chain
ends.
Insert the broker company name as the supplier, 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.
Supplier Company
Name:

Supplier Company
Headquarters Mailing
Address:

Supplier Point of
Contact (Name, phone
number, email
address):

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

Does this facility

provide you with
recycled cobalt?
(Yes/No):
GeSI EICC Extractives Supply Chain Transparency Study Request
12. What type of operation is Supplier D?
c
d
e
f
g Component Manufacturer

c
d
e
f
g Shaper

c
d
e
f
g Refiner

c
d
e
f
g Smelter

c
d
e
f
g Trader

c
d
e
f
g Distributer

c
d
e
f
g Comptoir

c
d
e
f
g Negociant

c
d
e
f
g Artisinal Mine

c
d
e
f
g Mine

Other (please specify)

13. Do you have additional suppliers of components or materials that

contain cobalt?
j
k
l
m
n Yes

j
k
l
m
n No
GeSI EICC Extractives Supply Chain Transparency Study Request
7. Survey: Supplier Information, continued

* 14. Supplier E:
Please fill out all boxes below for one of your suppliers of cobalt or
components containing cobalt (batteries and magnetic recording media).
The goal of this research is to create a transparent and understandable
representation without identifying customer/supplier relationships or
business terms - commercial relationships and terms will be held in
confidence.
Insert “n/a” for supplier tiers that do not apply, or where the supply chain
ends.
Insert the broker company name as the supplier, 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.
Supplier Company
Name:

Supplier Company
Headquarters Mailing
Address:

Supplier Point of
Contact (Name, phone
number, email
address):

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

Does this facility

provide you with
recycled cobalt?
(Yes/No):
GeSI EICC Extractives Supply Chain Transparency Study Request
15. What type of operation is Supplier E?
c
d
e
f
g Component Manufacturer

c
d
e
f
g Shaper

c
d
e
f
g Refiner

c
d
e
f
g Smelter

c
d
e
f
g Trader

c
d
e
f
g Distributer

c
d
e
f
g Comptoir

c
d
e
f
g Negociant

c
d
e
f
g Artisinal Mine

c
d
e
f
g Mine

Other (please specify)

16. Do you have additional suppliers of components or materials that

contain cobalt?
j
k
l
m
n Yes

j
k
l
m
n No
GeSI EICC Extractives Supply Chain Transparency Study Request
8. Survey: Supplier Information, continued

* 17. Supplier F:
Please fill out all boxes below for one of your suppliers of cobalt or
components containing cobalt (batteries and magnetic recording media).
The goal of this research is to create a transparent and understandable
representation without identifying customer/supplier relationships or
business terms - commercial relationships and terms will be held in
confidence.
Insert “n/a” for supplier tiers that do not apply, or where the supply chain
ends.
Insert the broker company name as the supplier, 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.
Supplier Company
Name:

Supplier Company
Headquarters Mailing
Address:

Supplier Point of
Contact (Name, phone
number, email
address):

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

Does this facility

provide you with
recycled cobalt?
(Yes/No):
GeSI EICC Extractives Supply Chain Transparency Study Request
18. What type of operation is Supplier F?
c
d
e
f
g Component Manufacturer

c
d
e
f
g Shaper

c
d
e
f
g Refiner

c
d
e
f
g Smelter

c
d
e
f
g Trader

c
d
e
f
g Distributer

c
d
e
f
g Comptoir

c
d
e
f
g Negociant

c
d
e
f
g Artisinal Mine

c
d
e
f
g Mine

Other (please specify)

GeSI EICC Extractives Supply Chain Transparency Study Request
9. Survey, continued

* 19. Are you willing to ask that your supplier(s) cooperate with RESOLVE and
EICC/GeSI as we take the next step in this research and request similar
information from them?
j
k
l
m
n Yes

j
k
l
m
n No

20. Please explain or note any questions about contacting your suppliers:
5
6
GeSI EICC Extractives Supply Chain Transparency Study Request
10. Survey, continued

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

in place that address human rights, 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: jgershowitz@resolv.org.

j
k
l
m
n Yes

j
k
l
m
n No

If you do not have codes of conduct in place, are you willing to consider putting such a mechanism in place in the
future? Please explain.

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

conduct, standards, or requirements on the issues listed above, please note
this below and email any relevant documents or resources to Jason
Gershowitz at RESOLVE (jgershowitz@resolv.org).
5
6

* 23. Are there any issues of concern on which your company is particularly
focused (e.g., child labor, fair trade, funding conflict, etc.) and would like to
address through an assurance mechanism?

j
k
l
m
n Yes

j
k
l
m
n No

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

5
6
GeSI EICC Extractives Supply Chain Transparency Study Request
11. Survey, continued

* 24. Do you require that your suppliers have such a code of conduct,
standards, or requirements in place?
j
k
l
m
n Yes

j
k
l
m
n No

If you answered "Yes" to the above question, please email a copy of the code of conduct you require for your
suppliers, or any related documentation to Jason Gershowitz at RESOLVE(jgershowitz@resolv.org), and describe the
document(s) below:

25. Please describe any mechanism(s) (e.g., supplier auditing, corporate

social responsibility report, investor report, government reporting) that you
institute to provide evidence of supplier compliance with these codes of
conduct, standards, or requirements, either directly or through a trade
association or voluntary initiatives.
5
6

* 26. Are the mechanisms or reports described above publicly available?

j
k
l
m
n Yes

j
k
l
m
n No

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.

6
GeSI EICC Extractives Supply Chain Transparency Study Request
12. Survey, continued

* 27. Have you undertaken any supply chain audit activities in the past?
j
k
l
m
n Yes

j
k
l
m
n No
GeSI EICC Extractives Supply Chain Transparency Study Request
13. Survey, continued

28. For past audit activities, please share the following:

Name of audit:
Company/Organization
that managed the
audit:

Date(s) of audit:

29. What did your company learn about from past audits?
5

6
GeSI EICC Extractives Supply Chain Transparency Study Request
14. Survey - Thank you

Please be sure to send any documentation related to this project to Jason Gershowitz at RESOLVE
(jgershowitz@resolv.org).

Documents could include:

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

GeSI EICC Extractives Supply Chain Transparency Study Request