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

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.
Other

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 products made with or containing cobalt
that EICC/GeSI members purchase from or supply to you.
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
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:

Do you provide
recycled cobalt?
(Yes/No):

* 2. What type of operation(s) is your company? If you select more than one
operation, please explain. Please note which operation type you would like
your company to be classified as in RESOLVE’s supply chain mapping.
Current supply chain maps can be found on the EICC-GeSI Project Wiki
http://eicc-gesi.resolv.wikispaces.net/Supply+Chain+Visuals
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 Other

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

Please note which operation type you would like your company to be classified as in RESOLVE’s supply chain
mapping.

5
6
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
Other
3. Survey: Customer Information

* 3. Customer A: Please fill out all boxes below for one of your customers of
cobalt or materials containing cobalt. 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 customer tiers that do not apply, or where 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.
Customer Company
Name:

Customer Company
Headquarters Mailing
Address:

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

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

* 4. What type of operation is Customer 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)
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
* 5. Do you have additional customers of materials that contain cobalt?
j
k
l
m
n Yes

j
k
l
m
n No
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
Other
4. Survey: Customer Information, Continued

* 6. Customer B: Please fill out all boxes below for one of your customers of
cobalt or materials containing cobalt. 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 customer tiers that do not apply, or where 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.
Customer Company
Name:

Customer Company
Headquarters Mailing
Address:

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

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

* 7. What type of operation is Customer 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

c
d
e
f
g Other (please specify)
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
* 8. Do you have additional customers of materials that contain cobalt?
j
k
l
m
n Yes

j
k
l
m
n No
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
5. Survey: Customer Information, Continued

* 9. Customer C: Please fill out all boxes below for one of your customers of
cobalt or materials containing cobalt. 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 customer tiers that do not apply, or where 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.
Customer Company
Name:

Customer Company
Headquarters Mailing
Address:

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

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

* 10. What type of operation is Customer 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

c
d
e
f
g Other (please specify)
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
* 11. Do you have additional customers of materials that contain cobalt?
j
k
l
m
n Yes

j
k
l
m
n No
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
6. Survey: Customer Information, Continued

* 12. Customer D: Please fill out all boxes below for one of your customers of
cobalt or materials containing cobalt. 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 customer tiers that do not apply, or where 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.
Customer Company
Name:

Customer Company
Headquarters Mailing
Address:

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

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

* 13. What type of operation is Customer 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

c
d
e
f
g Other (please specify)
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
* 14. Do you have additional customers of materials that contain cobalt?
j
k
l
m
n Yes

j
k
l
m
n No
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
7. Survey: Customer Information, Continued

* 15. Customer E: Please fill out all boxes below for one of your customers of
cobalt or materials containing cobalt. 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 customer tiers that do not apply, or where 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.
Customer Company
Name:

Customer Company
Headquarters Mailing
Address:

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

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

* 16. What type of operation is Customer 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

c
d
e
f
g Other (please specify)
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
* 17. Do you have additional customers of materials that contain cobalt?
j
k
l
m
n Yes

j
k
l
m
n No
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
8. Survey: Customer Information, Continued

* 18. Customer F: Please fill out all boxes below for one of your customers of
cobalt or materials containing cobalt. 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 customer tiers that do not apply, or where 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.
Customer Company
Name:

Customer Company
Headquarters Mailing
Address:

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

Name of Facility/Mine:

Mailing Address of
Facility/Mine:

* 19. What type of operation is Customer 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

c
d
e
f
g Other (please specify)
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
9. Survey, continued

* 20. Are you willing to ask that your customer(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

21. Please explain or note any questions about contacting your customers:
5
6
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
10. Survey, continued

* 22. 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.

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 note
this below and email any relevant documents or resources to Jason
Gershowitz at RESOLVE (jgershowitz@resolv.org).
5
6

* 24. 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
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
11. Survey, continued

* 25. Do you require that your customers 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
customers, or any related documentation to Jason Gershowitz at RESOLVE(jgershowitz@resolv.org), and describe the
document(s) below:

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

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

* 27. 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
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
12. Survey, continued

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

j
k
l
m
n No
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
13. Survey, continued

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

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

Date(s) of audit:

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

6
EICC-GeSI Extractives Supply Chain Tracking Study - Cobalt(1)
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 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.

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