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Due Diligence

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Due Diligence Guidance

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for Responsible Mineral Supply Chains

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Due Diligence
Guidance

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for Responsible Mineral Supply Chains

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Due diligence and responsibilities in the mineral supply chain

[/vc_column_text][/vc_column_inner][vc_column_inner width=”1/4″][/vc_column_inner][/vc_row_inner][vc_row_inner css=”.vc_custom_1542809832573{margin-bottom: 40px !important;}”][vc_column_inner width=”1/12″][/vc_column_inner][vc_column_inner width=”2/3″][vc_column_text][wvc_dropcap text=”T”]he mining, transport, and trade of mineral resources can fuel growth and employment, generate income, and promote local development. At the same time, mineral supply chain can be linked to serious human rights abuses (e.g. child labour, forced labour), money laundering, bribery, and funding for terrorism or armed groups. The OECD Due Diligence Guidance was developed to help companies avoid contributing to conflict, serious human rights impacts and financial crime through their operations or mineral sourcing practices.[/vc_column_text][/vc_column_inner][vc_column_inner width=”3/12″][/vc_column_inner][/vc_row_inner][vc_column_text]

How should you carry out due diligence?

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Implement a risk-based approach

Companies should implement a risk-based approach to perform adequate due diligence. Activities associated with higher risks will require more intensive due-diligence and monitoring activities.

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Adopt a progressive approach

Due diligence is an ongoing process of gradual improvements. Companies should encourage change by engaging constructively with suppliers, including informal actors.

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Make good faith efforts

Companies are expected to take reasonable steps and make good faith efforts to carry out due diligence in their supply chains. They are not expected to achieve full compliance with the Guidance overnight.

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Mitigate risks — but don’t embargo high-risk areas

Due diligence helps companies operate in or source from high-risk areas in need of responsible investment and trade. Except in the most harmful circumstances, companies should use their leverage with suppliers to improve conditions on the ground.

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The OECD’s five-step framework

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[wvc_dropcap text=”T”]he Guidance provides detailed recommendations to help companies meet responsible sourcing expectations. The five-step, risk-based due diligence process is relevant to all companies in the mineral supply chain that produce or use minerals from conflict-affected or high-risk areas. It applies to all minerals and is global in scope.

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1

Establish strong management systems

Adopt due-diligence policies and build internal capacity to implement them. Engage with suppliers and business partners. Develop internal controls and transparency over the mineral supply chain, collect data, and set up grievance mechanisms.[/vc_column_text][/vc_column_inner][vc_column_inner width=”1/5″][vc_single_image image=”491″ full_width=”1″ opacity=”100″ animated_svg=”1″ max_width=”100px”][vc_column_text]

2

Identify, assess, and prioritise risks

Review information on the supply chain to identify any red flags that would trigger enhanced due diligence. Delve deeper and map the factual circumstances of the red-flagged operations, supply chains, and business partners. Prioritise risks as set out in Annex II of the Guidance (see risks below).

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3

Manage risks

Report risk assessment findings to senior management and improve internal systems of control and oversight. Only disengage from suppliers associated with the most harmful impacts. In all other cases, take steps to increase leverage, either individually or collaboratively, to prevent or mitigate risks. Build internal and business-partner capacity.[/vc_column_text][/vc_column_inner][vc_column_inner width=”1/5″][vc_single_image image=”493″ full_width=”1″ opacity=”100″ animated_svg=”1″ max_width=”100px”][vc_column_text]

4

Audit control points

Carry out independent third-party audits to verify that due-diligence practices have been implemented properly at key “control points” (refiners and smelters for tin, tungsten, tantalum and gold, for example) in the supply chain. Auditors should gather findings and recommend specific improvements to existing processes.

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5

Communicate and report on due diligence

Publicly report on supply chain due diligence policies and practices including by publishing the supply chain risk assessment and management plan, with due regard to business confidentiality and other competitive concerns. Respond to stakeholder questions, concerns, and suggestions.[/vc_column_text][/vc_column_inner][/vc_row_inner][/vc_column][/vc_row][vc_row equal_height=”” shift_y=”0″ z_index=”0″ row_name=”Mineral Supply Chain Parts” bb_sm_mode=”no” css=”.vc_custom_1542764887990{margin-bottom: 0px !important;border-bottom-width: 0px !important;padding-bottom: 0px !important;}”][vc_column width=”2/3″][vc_column_text]

Mineral supply chains explained

[/vc_column_text][/vc_column][vc_column width=”1/3″][/vc_column][/vc_row][vc_row equal_height=”” hide_class=”wvc-hide-mobile” shift_y=”0″ z_index=”0″ bb_sm_mode=”no” css=”.vc_custom_1557835348232{margin-top: 20px !important;margin-bottom: 0px !important;border-top-width: 0px !important;border-bottom-width: 0px !important;padding-top: 0px !important;padding-bottom: 0px !important;}”][vc_column width=”1/12″][/vc_column][vc_column width=”7/12″][vc_column_text css=”.vc_custom_1554990809751{padding-top: 10px !important;}”][wvc_dropcap text=”B”]elow is a simplified illustration of the supply chain from start to finish. In reality, mineral supply chains are more complex, with overlapping and interconnected relationships and multiple intermediaries between each stage. Still, everyone in the supply chain has a role to play in performing due diligence. Where do you fit in?[/vc_column_text][/vc_column][vc_column width=”4/12″ background_type=”image” background_img_lazyload=”1″ shift_x=”0″ shift_y=”0″ z_index=”0″ border_color=”custom” border_style=”solid” css=”.vc_custom_1544535680225{border-top-width: 5px !important;border-right-width: 5px !important;border-bottom-width: 5px !important;border-left-width: 5px !important;padding-top: 15px !important;padding-bottom: 10px !important;}” border_custom_color=”#dce3e8″][vc_column_text css=”.vc_custom_1557828797571{padding-bottom: 0px !important;}”]

Click to learn more about a link in the chain. Click again to return to the main graphic.

[/vc_column_text][/vc_column][/vc_row][vc_row equal_height=”” hide_class=”wvc-show-mobile” shift_y=”0″ z_index=”0″ bb_sm_mode=”no” css=”.vc_custom_1557835273473{margin-top: 20px !important;margin-bottom: 0px !important;border-top-width: 0px !important;border-bottom-width: 0px !important;padding-top: 0px !important;padding-bottom: 0px !important;}”][vc_column][vc_column_text css=”.vc_custom_1554990809751{padding-top: 10px !important;}”][wvc_dropcap text=”B”]elow is a simplified illustration of the supply chain from start to finish. In reality, mineral supply chains are more complex, with overlapping and interconnected relationships and multiple intermediaries between each stage. Still, everyone in the supply chain has a role to play in performing due diligence. Where do you fit in?[/vc_column_text][/vc_column][/vc_row][vc_row equal_height=”” hide_class=”wvc-hide-mobile” shift_y=”0″ z_index=”0″ bb_sm_mode=”no” css=”.vc_custom_1557829038550{margin-top: 5px !important;margin-bottom: -30px !important;border-top-width: 0px !important;border-bottom-width: 0px !important;padding-top: 0px !important;padding-bottom: 0px !important;}”][vc_column width=”1/12″][/vc_column][vc_column width=”7/12″][/vc_column][vc_column width=”4/12″ background_type=”image” background_img_lazyload=”1″ shift_x=”0″ shift_y=”0″ z_index=”0″ css=”.vc_custom_1544533210537{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;border-top-width: 0px !important;border-right-width: 0px !important;border-bottom-width: 0px !important;border-left-width: 0px !important;padding-top: 0px !important;padding-right: 0px !important;padding-bottom: 0px !important;padding-left: 0px !important;}”][vc_column_text css=”.vc_custom_1544533188273{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;border-top-width: 0px !important;border-right-width: 0px !important;border-bottom-width: 0px !important;border-left-width: 0px !important;padding-top: 0px !important;padding-right: 0px !important;padding-bottom: 0px !important;padding-left: 0px !important;}”][/vc_column_text][/vc_column][/vc_row][vc_row equal_height=”” hide_class=”wvc-hide-mobile” shift_y=”0″ z_index=”0″ bb_sm_mode=”no” el_class=”sm-pin-thing” css=”.vc_custom_1557835365518{margin-top: 0px !important;border-top-width: 0px !important;padding-top: 0px !important;}”][vc_column][rev_slider_vc alias=”supply-chain”][vc_row_inner][vc_column_inner width=”1/4″][/vc_column_inner][vc_column_inner content_placement=”default” width=”1/2″ background_type=”image” background_color=”lightergrey” background_img_lazyload=”1″ css=”.vc_custom_1542764765881{margin-top: 100px !important;}”][vc_column_text]

When you’re ready, continue scrolling down.

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Risks covered in the Guidance

All actors in the mineral supply chain can be at risk of contributing to adverse impacts of the mineral trade — regardless of their position in the supply chain. Due diligence helps companies identify whether their supply chains are risky and prioritise the most severe risks associated with sourcing minerals from high-risk areas:[/vc_column_text][lvca_accordion style=”style3″][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”? Serious human rights abuses”]Serious human rights abuses include all forms of torture or cruel, inhuman, or degrading treatment (e.g. beatings, threats, or rape). Any form of forced or compulsory labour falls into this category, as do the worst forms of child labour, such as any work that exposes children to hazardous substances or forces them to use dangerous machinery, work deep underground or below water, or carry heavy loads. Other gross human rights violations and abuses include widespread sexual violence, war crimes, or other serious violations of international humanitarian law, crimes against humanity (e.g. mass executions, deportations, or the use of child soldiers), or genocide.[/lvca_panel][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”? Support to armed groups”]‘Providing direct or indirect support’ to non-state armed groups or to public or private security forces means procuring minerals from or providing payment or logistical assistance to armed groups or affiliates that illegally control or extort money or minerals at mine sites, along transportation routes, or at trading hubs. Armed groups may benefit from illegally controlling mine access, overseeing extraction, extorting intermediaries, or holding beneficial or other ownership interests in upstream companies or mines.[/lvca_panel][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”⚠ Security contracting”]Public or private security forces contracted in the supply chain may be associated with serious human rights abuses, in their interactions with vulnerable groups, local communities, human rights defenders and local labour leaders.  Companies should observe the Voluntary Principles on Security and Human Rights, avoid risks associate with their engagement with local communities on security issues, use of excessive force, and/or use of inappropriate force on protected populations.[/lvca_panel][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”⚠ Bribery and fraud”]Bribery or fraud occurs when supply chain actors offer, promise, give, or demand a bribe or other undue advantage to obtain or retain business or any other improper advantage, such as securing mine site concessions, to facilitate smuggling, or to fraudulently misrepresent the origin of a mineral. Bribes can take the form of money or other pecuniary advantages (e.g. membership in an exclusive club or the promise of a scholarship for a child) or non-pecuniary advantages (e.g. favourable publicity).[/lvca_panel][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”⚠ Money laundering”]Money laundering is the process by which criminals disguise the illegal origin of the proceeds of criminal conduct by making such proceeds appear to have derived from a legitimate source. Money laundering in the mineral supply chain occurs when minerals purchased using the proceeds of crime are then reintroduced into the market. It also occurs when minerals are used as an alternative currency in illicit transactions, such as purchases of weapons or drugs. Trade-based money laundering involves techniques like over- and under-invoicing, phantom shipping, and multiple invoicing.[/lvca_panel][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”⚠ Non-payment of dues”]Tax evasion is generally defined as an illegal attempt to avoid paying a tax imposed by law. In the mining sector, tax evasion and the non-payment of other fees and royalties due to the government is often facilitated by transfer pricing and fraud, for example through over- or under-valuing the prices of minerals or other goods or services, or misrepresentation of the origin of goods. It can also be facilitated by other practices, including smuggling and bribery.[/lvca_panel][/lvca_accordion][/vc_column_inner][vc_column_inner width=”1/12″][/vc_column_inner][/vc_row_inner][/vc_column][/vc_row][vc_row content_width=”full” equal_height=”” hide_class=”wvc-show-mobile” background_type=”image” background_color=”custom” background_img_lazyload=”1″ shift_y=”0″ z_index=”0″ bb_sm_mode=”no” css=”.vc_custom_1558097782042{margin-top: 20px !important;margin-bottom: 0px !important;border-top-width: 0px !important;border-bottom-width: 0px !important;padding-top: 70px !important;padding-bottom: 0px !important;}” background_custom_color=”#372723″][vc_column][rev_slider_vc alias=”mobile-dark-chain”][vc_row_inner css=”.vc_custom_1558090348283{margin-top: -35px !important;margin-bottom: 40px !important;}”][vc_column_inner width=”1/12″][/vc_column_inner][vc_column_inner content_placement=”default” width=”5/6″ background_type=”image” background_color=”custom” background_img_lazyload=”1″ css=”.vc_custom_1542811085196{padding-top: 30px !important;padding-right: 30px !important;padding-bottom: 30px !important;padding-left: 30px !important;}” css_animation=”none” css_animation_delay=”500″ background_custom_color=”#feece2″][vc_column_text]

Risks covered in the Guidance

All actors in the mineral supply chain can be at risk of contributing to adverse impacts of the mineral trade — regardless of their position in the supply chain. Due diligence helps companies identify whether their supply chains are risky and prioritise the most severe risks associated with sourcing minerals from high-risk areas:[/vc_column_text][lvca_accordion style=”style3″ toggle=”true”][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”? Serious human rights abuses”]Serious human rights abuses include all forms of torture or cruel, inhuman, or degrading treatment (e.g. beatings, threats, or rape). Any form of forced or compulsory labour falls into this category, as do the worst forms of child labour, such as any work that exposes children to hazardous substances or forces them to use dangerous machinery, work deep underground or below water, or carry heavy loads. Other gross human rights violations and abuses include widespread sexual violence, war crimes, or other serious violations of international humanitarian law, crimes against humanity (e.g. mass executions, deportations, or the use of child soldiers), or genocide.[/lvca_panel][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”? Support to armed groups”]‘Providing direct or indirect support’ to non-state armed groups or to public or private security forces means procuring minerals from or providing payment or logistical assistance to armed groups or affiliates that illegally control or extort money or minerals at mine sites, along transportation routes, or at trading hubs. Armed groups may benefit from illegally controlling mine access, overseeing extraction, extorting intermediaries, or holding beneficial or other ownership interests in upstream companies or mines.[/lvca_panel][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”⚠ Security contracting”]Public or private security forces contracted in the supply chain may be associated with serious human rights abuses, in their interactions with vulnerable groups, local communities, human rights defenders and local labour leaders.  Companies should observe the Voluntary Principles on Security and Human Rights, avoid risks associate with their engagement with local communities on security issues, use of excessive force, and/or use of inappropriate force on protected populations.[/lvca_panel][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”⚠ Bribery and fraud”]Bribery or fraud occurs when supply chain actors offer, promise, give, or demand a bribe or other undue advantage to obtain or retain business or any other improper advantage, such as securing mine site concessions, to facilitate smuggling, or to fraudulently misrepresent the origin of a mineral. Bribes can take the form of money or other pecuniary advantages (e.g. membership in an exclusive club or the promise of a scholarship for a child) or non-pecuniary advantages (e.g. favourable publicity).[/lvca_panel][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”⚠ Money laundering”]Money laundering is the process by which criminals disguise the illegal origin of the proceeds of criminal conduct by making such proceeds appear to have derived from a legitimate source. Money laundering in the mineral supply chain occurs when minerals purchased using the proceeds of crime are then reintroduced into the market. It also occurs when minerals are used as an alternative currency in illicit transactions, such as purchases of weapons or drugs. Trade-based money laundering involves techniques like over- and under-invoicing, phantom shipping, and multiple invoicing.[/lvca_panel][lvca_panel panel_id=”panel-5bc37d299a568″ panel_title=”⚠ Non-payment of dues”]Tax evasion is generally defined as an illegal attempt to avoid paying a tax imposed by law. In the mining sector, tax evasion and the non-payment of other fees and royalties due to the government is often facilitated by transfer pricing and fraud, for example through over- or under-valuing the prices of minerals or other goods or services, or misrepresentation of the origin of goods. It can also be facilitated by other practices, including smuggling and bribery.[/lvca_panel][/lvca_accordion][/vc_column_inner][vc_column_inner width=”1/12″][/vc_column_inner][/vc_row_inner][/vc_column][/vc_row][vc_row equal_height=”” background_type=”image” background_color=”white” background_img_lazyload=”1″ shift_y=”0″ z_index=”0″ row_name=”Upstream and Downstream” css=”.vc_custom_1558012116205{margin-top: 0px !important;}”][vc_column][vc_column_text]

A summary of supply chain due diligence

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Upstream

  • Establish a system of transparency to gather information on country of origin and suppliers, and undertake a red flag review
  • For red flagged supply chains, undertake on-the-ground assessments of mines, producers, and traders for conflict, serious abuses, bribery, tax evasion, fraud, money laundering
  • Collaborative engagement with local government, CSOs, local business to prevent and mitigate impacts, monitor
  • Report publicly on due diligence efforts

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Downstream

  • Identify ‘choke points’ in supply chain (e.g. metal smelter or refiners)
  • Collect information on their upstream due diligence (e.g. both through individual efforts and industry auditing)
  • Use collective industry leverage to encourage improvement of upstream due diligence
  • Report publicly on due diligence efforts

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How does the five-step framework apply to you?

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How does the five-step framework apply to you?

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