Scope and Compliance
It is important that our Suppliers demonstrate the capability and willingness to follow robust legal, ethical, labour, trade, human rights, and environmental standards. Suppliers must maintain and consistently demonstrate their commitment and capability to comply with 33Carat’s Supplier Code of Conduct.
This Code applies to all 33Carat’s direct and indirect Suppliers, including their parent, subsidiary or affiliate entities (herein referred to as “Supplier”). All Suppliers are expected to adhere to this Code and are responsible for ensuring their practices are consistent with the practices herein. Suppliers are responsible for compliance at the facilities they use to produce products supplied to 33Carat. Suppliers are required to disclose facilities that are owned, leased, subcontracted or used in any material form to produce any item supplied to 33Carat. The same obligations outlined herein will also apply to subcontractors or independent contractors used by Supplier. Suppliers are responsible for compliance of their subcontractors or independent contractors with this Code, to the extent that subcontractors or independent contractors are involved in the production processes or any manufacturing stages carried out on behalf of 33Carat.
Business and Regulatory Requirements
33Carat Suppliers are expected to comply with all applicable laws in all jurisdictions where they do business and conduct their business in accordance with the highest standards of ethical behaviour. We recognize that our Suppliers operate in different areas of the world and reside in different legal and cultural environments. In all cases, we expect our Suppliers to comply with applicable legal requirements. Suppliers must operate their business with the utmost integrity. 33Carat encourages the establishment of policies that promote trust, honesty and respect, including but not limited to:
- Bribery and Corruption: Supplier shall not engage in any form of bribery and/or corrupt activities and shall take affirmative steps to ensure compliance with relevant laws by any counterparties with which it does business. Supplier shall protect employees from penalties and/or punitive actions for reporting concerns or refusing to partake in any activities related to suspected bribery such as with a non-retaliation policy.
- Money laundering and/or financing of terrorism: Supplier shall not engage in money laundering or financing of terrorism. Where applicable, Supplier confirms that it has an anti-money laundering (AML) program in place to fully comply with the USA Patriot Act. Suppliers shall fully cooperate with any audit or test of the Supplier’s AML program, and not withhold or misrepresent any information from auditors. See subsequent section in this Code for additional information on Know Your Counterparty (KYC) procedures.
- Financial Accounting: Supplier shall maintain financial accounts of all business transactions in accordance with international accounting standards. Supplier shall pay all taxes and ensure fees and royalties are reported and paid timely to the relevant government authorities, and where applicable, disclosed in accordance with principles set forth under the Extractive Industry Transparency Initiative (EITI).
- Confidentiality: Supplier shall take all necessary measures to ensure the confidentiality of business and/or trade secrets and intellectual property rights and/or other non-public information received during their business relationship with 33Carat.
- Transparency of Information: Supplier shall provide clear and accurate information regarding their business practices, resources used, production sites and characteristics of the products supplied to 33Carat.
- Subcontracting: Supplier shall not contract out any part of the work related to 33Carat goods without disclosing such subcontracting relationships to 33Carat. Any subcontractor or independent contractor used for 33Carat work will be subject to this Code and Supplier is responsible for the compliance of their subcontractors or independent contractors with these requirements.
- Competition and Antitrust: Supplier shall comply with competition laws (antitrust laws) and not engage in anti-competitive behaviour.
- Data Protection and Privacy: Supplier shall comply with relevant data protection and privacy laws and regulations specifically as applicable to personal data.
Social and Environmental Requirements
Human Rights and Responsible Labour Practices
Supplier shall at all times respect the fundamental human rights of all workers, (including full- time, part-time or contracted) business partners and customers and observe the UN Guiding Principles on Business and Human Rights, the Universal Declaration of Human Rights, and the ILO Conventions on Labour Rights and the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas in ways appropriate to their size and circumstances. Where relevant, Suppliers shall adhere to the guidelines outlined in the Responsible Jewellery Council Code of Practices. Suppliers shall use fair and responsible labour practices and treat all employees with full respect and dignity.
OECD Due Diligence Guidance for Responsible Supply Chains of Minerals: Supplier, as applicable, is expected to adhere to all standards outlined in Annex II, Model Supply Chain Policy for a Responsible Global Supply Chain of Minerals from Conflict- Affected and High-Risk Areas. This includes the prohibition of:
- any forms of torture, cruel, inhuman and degrading treatment; any forms of forced or compulsory labour, which means work or service which is exacted from any person under the menace of penalty, and for which said person has not offered himself voluntarily; the worst forms of child labour;
- other gross human rights violations and abuses such as widespread sexual violence;
- war crimes or other serious violations of international humanitarian law, crimes against humanity or genocide.
Child and Young Labour: Supplier shall not engage in the use of child labour as defined in ILO Convention 138 and the worst forms of child labour as defined in ILO Convention 182. Supplier shall ensure any juvenile (those between the minimum age and 18 years old) are not working in hazardous conditions or night work and comply with applicable laws. Additionally, Supplier shall have a child labour remediation policy and procedure promoting the protection of potential child workers.
Forced Labour: Supplier shall not engage in any forms of forced labour as defined in ILO Conventions 29 and 105, including trafficking in persons, bonded, indentured or involuntary prison labour. Neither Supplier nor any company supplying labour to Supplier shall withhold any part of a worker’s salary, benefits, property or documents (e.g., identification cards or passports) in an effort to force workers to continue working for Supplier. Workers shall be provided with a written and understandable (in a language understood by the employee) labour contract. If recruitment agencies must be utilized, Supplier shall monitor relationships for risks of human trafficking. Additionally, Supplier shall have a forced labour remediation policy and procedure promoting the protection of potential forced workers.
Foreign or Migrant Workers: Supplier agrees to assure that foreign or migrant workers will be employed in full compliance with applicable labour and immigration laws.
Harassment and Abuse: Supplier shall treat its workers with respect and dignity. Supplier shall not tolerate or engage in any form of corporal punishment or degrading treatment, sexual or physical harassment, mental, physical or verbal abuse, coercion or intimidation, or threats to management and staff, their family, or colleagues. Supplier shall clearly communicate disciplinary process, and related standards, and apply them equally to all management and staff.
No Support of Non-State Armed Groups: Supplier shall not provide support, directly or indirectly, to non-state armed groups, through activities related to the extraction, transport, trade, handling or export of minerals. Supplier shall not provide support, directly or indirectly to public or private security forces who illegally control mine sites, transportation routes and upstream actors in the supply chain, or who illegally tax or extort money or minerals at point of access to mine sites, along transportation routes, or at points where minerals are traded, or illegally tax or extort intermediaries, export companies or international traders.
Working hours: Workers shall not be required to work more than 48 hours regular work and 12 hours additional overtime to total 60 hours per week, except in extraordinary business circumstances with their voluntary non-induced consent. Workers shall be entitled to at least one day of rest following six consecutive days worked. In all circumstances, Suppliers shall comply with all applicable laws related to working hours and holidays.
Fair wages and benefits: Supplier shall pay all workers a fair, equal wage based on the higher of either the applicable legal minimum wage, or the prevailing industry standards. Supplier should promote a living wage to meet basic needs and some discretionary income. Payment to worker shall be on a regular frequency and pre-determined basis as defined by local regulations and will accompany a wage slip which clearly details wage rates, benefits and deductions where applicable. Suggested frequency where no local regulations exist is monthly payment. Workers shall be compensated for overtime hours according to applicable legal requirements.
Discrimination: Supplier shall treat workers or prospective employees equally and fairly and not subject to discrimination or harassment based on race, sex, ccolour, national or social origin, ethnicity, religion, age, disability, sexual orientation, gender identification or expression, political opinion, maternity or any other status protected by applicable law.
Health & Safety: Supplier shall provide safe and healthy working conditions for workers in accordance with applicable laws, such as building and fire codes, and other relevant industry standards. This includes, but is not limited to, providing a safe and healthy workplace and on- site housing (if applicable); establishing a process to assess and minimize workplace hazards; offering trainings, personal protective equipment, potable water, access to sanitary facilities that are gender specific where relevant, access to medical facilities, and emergency response equipment; maintaining an emergency response plan; and fulfilling other criteria set forth in International Labour Organization (ILO) Occupational Safety and Health Convention 155 at no cost to the employee. Suppliers shall have a process in place for workers to report safety incidents and accidents, and investigate to determine root causes and necessary corrective actions to prevent reoccurrence.
Security: Supplier shall take measures to ensure the safety and security of its workers, contractors and visitors. This includes assessing security risks and implementing measures to protect against product theft, intellectual property theft or loss of employee or customer data during manufacturing and transport of goods.
Freedom of Association and Collective Bargaining: Suppliers shall not prevent workers from freedom of association or interfere with, penalize or retaliate against employees who lawfully associate and collectively bargain. Where laws prohibit these freedoms, Suppliers shall support parallel means for independent and free association and bargaining such as worker representatives and worker welfare committees.
Grievance Mechanism: Suppliers shall allow workers acting individually or with others to submit a grievance with the ability to raise concerns confidentially (and/or anonymously) without suffering any penalty or retaliation and shall have a process to investigate and document all grievances appropriately.
Employment Records: Suppliers shall maintain accurate employment, payroll and production records for employees and allow access by 33Carat or its designated auditor upon request.
Employment Conditions and Contracts: Supplier shall establish in writing the terms and conditions of their employees’ agreements and work contracts in accordance with applicable laws and regulations. Agreements and work contracts must be available in a language understandable by the employee or worker.
Human Rights Commitment: Suppliers shall have a commitment to respect human rights which is endorsed by senior management and communicated to all employees.
Audit: Suppliers shall fully cooperate with any audit, and not withhold or misrepresent any information from auditors. 33Carat or its designated third party to audit shall be granted unfettered access to the Supplier’s facilities, books and records, and employees for the purpose of interviewing them.
Community Development
Supplier shall make an effort to support the development of local communities in which it operates.
- Indigenous Peoples: Supplier shall recognize and respect the rights of all indigenous peoples, and recognize and respect the value of their traditional, cultural and social heritage.
- Community Engagement: Where applicable to their supply chain, Supplier should facilitate, support, and/or participate in authentic and constructive engagement with local communities from which diamonds, gemstones, precious metals, and jewellery are refined or manufactured, and where possible, where diamonds, gemstones and/or precious metals are sourced.
- Community Support and Development: Where possible, and as appropriate to the scale of the Supplier, Supplier should facilitate and support community development efforts and local community priorities including education, health care, women’s empowerment, economic development and preserving natural resources. Where practical, businesses should avoid filling roles that are the responsibility of others, especially governments, and instead take a partnership or collaborative approach to community development.
Environmental Practices
Supplier shall comply with all relevant environmental regulations and seek to ensure the efficiency of their business operations in terms of consumption of natural resources including, but not limited to water, waste and energy.
- Assess and Mitigate Environmental Impacts: Supplier should take proactive measures to identify and mitigate material environmental risks and significant impacts of their operations.
- Environmental Management: Supplier shall manage its environmental footprint by using natural resources responsibly including reducing energy consumption, water use, waste and emissions. Where applicable, and as appropriate to the scale of the Supplier, Supplier should implement an environmental management system that regularly reviews controls to minimize environmental impacts and measure performance.
Supply Chain Integrity, Traceability and Transparency
Supplier shall make all commercially practical efforts to ensure the integrity of the goods and services provided to 33Carat. This includes being transparent about the characteristics and origin of goods and ensuring those goods go beyond current industry conflict-free standards.
Sections below will indicate to which requirements apply to which Suppliers.
All Suppliers:
- Know Your Customer: Supplier shall employ “Know Your Customer” principles including maintaining an understanding of their suppliers and customers, including but not limited to ownership, identity, legal status (including applicable permits, licenses, etc.), sources of raw material, processes, products or services. Supplier shall also monitor transactions for unusual occurrences, suspicions of money laundering or terrorism financing, and report suspicious behaviour to appropriate officials.
- Quality Assurance: Supplier shall maintain robust quality assurance procedures to ensure that all products sold to 33Carat conform to listed specifications in all material respects.
- Regulatory Compliance: Supplier shall comply with the FTC Guides for the Jewellery, Precious Metals, and Pewter Industries, which includes but is not limited to disclosure of treatments or alterations to gemstones, lab grown diamonds or gemstones, and gold and silver content.
- Segregation of lab created and natural diamonds and gemstones: Suppliers of diamond, gemstone, and jewellery production, shall have systems in place to ensure the segregation of lab created and natural diamonds and gemstones.
Suppliers of natural diamonds (certified and melee):
Beyond Conflict Free Diamonds: Many jewellers offer “conflict free” diamonds, referring to adherence to the Kimberley Process, which narrowly defines conflict diamonds as diamonds that finance rebel movements against recognized governments. What this definition leaves out is large numbers of diamonds that are tainted by violence, human rights abuses, forced labour, child labour, worker exploitation and low wages, unsafe working conditions, and irresponsible mining leading to soil erosion, deforestation, and environmental degradation. We go beyond the usual standard to offer Beyond Conflict Free diamonds that have been carefully selected for their ethical and environmentally responsible origins.
Going Beyond Conflict Free means a select group of natural diamond Suppliers who can demonstrate a robust chain of custody protocol for their diamonds and can track and segregate diamonds by country of origin. These diamonds come from approved mines in countries ranked according to risk based on the Gemstones and Jewellery Community Platform Index for Conflict-Affected and High-Risk Areas. The labour, trade, and environmental standards of the natural diamond mining companies from which we source have been evaluated by screening information such as RJC certifications, the world’s leading standard setting organization for the jewellery industry, publicly available internal mining practices such as the DTC Best Practice Principles, and Global Reporting Initiative, an internationally recognized ESG disclosure framework.
Chain of Custody and Traceability for Diamonds: Suppliers of certified (individually graded) natural diamonds with a listed country of origin shall have a system to account for, track, and identify certified diamonds that maintain a strong and verifiable chain of custody to verify the country of origin of all certified diamonds sold to 33Carat. This system shall comply with the most recent version of the 33Carat Chain-of-Custody Protocol to support Country of Origin Verification. Natural diamond suppliers must be able to demonstrate traceability systems for their diamonds. This process will include regular reviews of the Supplier’s traceability systems and may include third-party verifications.
Adherence to Kimberley Process for Diamonds: Supplier shall not knowingly buy or sell conflict diamonds or assist others to do so. Where involved with the international trade of rough diamonds, Supplier shall apply the rough diamond export and import verification system and controls as laid out by the Kimberley Process Certification Scheme and relevant national legislation. Where involved in buying and selling diamonds, whether rough, polished or set in jewellery, Supplier shall adhere to the World Diamond Council System of Warranties, have systems to ensure that all associated invoices contain the following affirmative statement—or equivalent wording which provides the same warranty—and ensure that diamonds purchased or sold under that invoice meet these warranties:
- “The diamonds herein invoiced have been {sourced} purchased from legitimate sources not involved in funding conflict, in compliance with United Nations Resolutions and corresponding national laws {where the invoice is generated}. The seller hereby guarantees that these diamonds are conflict free and confirms adherence to the WDC SoW Guidelines.”
Suppliers of precious metals and finished jewellery:
Adherence to the Dodd-Frank Act for Conflict Minerals: We do not tolerate the use of “conflict minerals” (tin, tungsten, tantalum and gold) originating from the Democratic Republic of the Congo (DRC) or an adjoining country.
Recycled Precious Metals Requirement: Suppliers of jewellery cast with precious metals shall comply with 33Carat’s Recycled Precious Metals Policy. This process will include regular reviews of the Supplier’s precious metal sourcing and traceability systems and third-party verifications.
Fairmined Gold: Where requested, Fairmined gold may be purchased from Fairmined certified refiners and used in Fairmined certified facilities. This process will require reporting of Fairmined gold purchases and sales in Fairmined Connect.
Adherence to Kimberley Process for Diamonds: Where involved in buying and selling diamonds, whether rough, polished or set in jewellery, Supplier shall adhere to the World Diamond Council System of Warranties, have systems to ensure that all associated invoices contain the following affirmative statement—or equivalent wording which provides the same warranty—and ensure that diamonds purchased or sold under that invoice meet these warranties:
- “The diamonds herein invoiced have been {sourced} purchased from legitimate sources not involved in funding conflict, in compliance with United Nations Resolutions and corresponding national laws {where the invoice is generated}. The seller hereby guarantees that these diamonds are conflict free and confirms adherence to the WDC SoW Guidelines.”
Suppliers of coloured gemstones:
33Carat Approved Countries of Origin: 33Carat approved countries of origin for coloured gemstones have been carefully selected for their ethical and environmentally responsible practices. Not only shall Supplier employ due diligence measures when sourcing coloured gemstones provided to 33Carat to verify they do not come from Conflict-Affected High-Risk Areas (CAHRAs), the Supplier shall also have a system for verifying the stated geographic origin of its coloured gemstones supplied to 33Carat.
Disclosure of Treatments: Supplier shall be transparent about and disclose all material physical characteristics of the gemstones including detailed information on any treatments or irradiation in accordance with the FTC Guides for the Jewellery, Precious Metals, and Pewter Industries.
Suppliers of lab created diamonds and gemstones:
Laboratory-created diamond representations: Supplier of lab created diamonds and gemstones must be in accordance with the FTC Guides for the Jewellery, Precious Metals, and Pewter Industries. Supplier must at all times disclose that a stone is “laboratory-grown”, “laboratory-created”, or any other industry standard language that indicates “laboratory-grown” in all documentation provided to 33Carat and the description must immediately precede the word diamond or gemstone.
Lab diamond traceability to cut polish facility: Lab diamond Supplier must be able to demonstrate traceability systems for their lab diamonds to the cut and polish facility. This process will include regular reviews of the Supplier’s traceability systems and may include third-party verifications.
Suppliers of recycled diamonds:
Recycled or post-consumer declaration: Suppliers of recycled or post-consumer diamonds that have been repurposed from previously-ownedjewellery shall be purchased from licensed second-hand dealers and invoices shall have a post-consumer declaration.
Suppliers of specimens of wild animals and plants:
Adherence to the Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES): CITES is an international agreement between governments and aim is to ensure that international trade in specimens of wild animals and plants does not threaten the survival of the species. Levels of exploitation of some animal and plant species are high and the trade in them, together with other factors, such as habitat loss, is capable of heavily depleting their populations and even bringing some species close to extinction. Many wildlife species in trade are not endangered, but the existence of an agreement to ensure the sustainability of the trade is important in order to safeguard these resources for the future. Supplier of products that include specimens of wild animals and plants should reference the Cites Appendices to determine if or which appendices the animal or plant product is on.
- Appendix I lists species that are the most endangered among CITES-listed animals and plants.
- Appendix II lists species that are not necessarily now threatened with extinction but that may become so unless trade is closely controlled.
- Appendix III is a list of species included at the request of a Party that already regulates trade in the species and that needs the cooperation of other countries to prevent unsustainable or illegal exploitation.
Defining Conflict Affected High Risk Areas
33Carat conforms to the OECD and European Commission definitions of Conflict Affected and High-Risk Areas (CAHRAs). Because the nature of conflict is constantly changing, we conduct regular assessments and as deemed necessary to define the countries we believe fall within those definitions and reference the Gemstones and Jewellery Community Platform Index for Conflict-Affected and High-Risk Areas.
Risk Assessment & Compliance Process
33Carat will use a risk-based approach to assess Suppliers and the risk of non-compliance with this Code. Our risk assessment will focus on risks throughout the supply chain based on a variety of factors including category of product or service supplied, country of origin and governance as defined by the European Commission and OECD definitions of Conflict-Affected and High-Risk Areas, type of business (sight holder, manufacturer, etc.), traceability of products, length of time in business, data collected directly from suppliers and other publicly available information. Our approved countries of origin for diamonds and coloured gemstones are not listed here, but will be determined on a case by case basis according to Supplier capabilities and our current risk assessment. Approved origins will be communicated to Supplier through compliance documentation.
33Carat reserves the right to conduct announced audits at the Suppliers’ sites either by themselves or through a third-party auditor to verify compliance with this Code. To reduce audit fatigue among Suppliers, 33Carat’s risk-based approach will place more emphasis on higher-risk Suppliers and may leverage mutual recognition of other audits that have already been conducted. We will take concrete steps to mitigate all material identified risks of non-compliance with this Code, up to and including severing contracts with non-compliant Suppliers.
The following outlines 33Carat’s Risk Assessment and Compliance Process for Suppliers of inventory products, including natural diamonds, recycled diamonds, lab-grown diamonds, precious metals and finished jewellery products, and coloured gemstones:
- Phase 1 – Information Gathering to Identify Risks: Potential Suppliers are required to complete our onboarding Affidavit. Current Suppliers are expected to keep their Affidavit updated to any changes to business operations or products supplied. The Affidavit takes into consideration the Supplier’s business operations, products to be supplied to 33Carat and the extent of any health and safety and/or environmental assessments conducted at the Supplier’s operations. The information provided in the Affidavit will allow us to assess the Potential Supplier based on industry specific risks, including country of operation and the Supplier’s compliance management systems.
- Phase 2 – Identify Risks: Based on the information provided in Phase 1, Potential Suppliers will be given a risk rating of low-risk, moderate-risk, high-risk or extreme-risk.
- Phases 3 and 4 – Analyse, Rate and Treat Risks: Potential Supplier will be notified of its risk rating. Based on the rating, the following action is required:
Should Supplier be required to undergo an independent audit, 33Carat will provide information on approved audit standards and audit firms and can assist with scheduling. At any time, all Suppliers, regardless of risk rating may also be subject to an in-person assessment by a member of the 33Carat Compliance Team and are expected to comply with such request.
Upon completion of an audit- either by a third-party or by a member of the 33Carat Compliance Team- Supplier’s risk rating may be modified. This will determine any necessary follow-up action. In the event of a non-compliance, we expect the Supplier to be committed and engaged in remedying the non-compliance on the basis of a Corrective Action Plan to be implemented by a mutually agreed date. Our intention is to work with our Suppliers to help improve practices in the supply chain. If a Supplier is having difficulty meeting one of our requirements, we will make an effort to work with them to meet our standards before severing a relationship. However, if there are findings in an assessment that we consider to be an extreme risk (e.g. child labour and forced labour), we will sever the relationship.
If 33Carat determines that it is necessary to terminate the relationship with Supplier due to non-compliance with this Code and/or audit findings, 33Carat may consider resuming a business relationship with the Supplier only after satisfactory corrective action has been completed.
- Phase 5 – Monitor Risks: After completion of the initial assessment of Supplier’s compliance with this Code, a Supplier’s requirements for regular audits is based on their risk rating. See column in above table – Action for Current Suppliers.
Scope and Compliance
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Industry Standard Audit Requirement
33Carat expects Suppliers that manufacture natural diamonds to become certified under the Responsible Jewellery Council’s Code of Practices. 33Carat expects Suppliers that manufacture lab diamonds, finished jewellery, and gemstones with facilities over a certain number employees to have an equivalent audit. The RJC certification or audit should apply to the facilities used in the manufacturing of materials and/or products for 33Carat. As previously stated, this Code is also applicable to subcontractors, and Suppliers are responsible for their subcontractors’ or independent contractors’ compliance with this Code. Contractors used by our Suppliers are also required to provide proof of an acceptable audit covering facilities used for production of 33Carat materials.
33Carat Grievance Mechanism
We recognize that effective grievance mechanisms are key to safeguarding worker rights in our operations and our supply chain and can act as an early-warning risk awareness tool to help identify supply chain risks. We are committed to working with our Suppliers to ensure appropriate mechanisms are made available within their own supply chains to ensure grievances can be raised and resolved through appropriate channels. This grievance process is also aligned with responsible supply chain standards including the OECD Due Diligence Guidance for Responsible Supply Chains.
What would constitute a grievance?
For this process, a grievance is a report of alleged non-compliance with our Supplier Code of Conduct that has occurred in our supply chain and has a direct adverse human rights, responsible labour practices, community development or environmental impact. This could include:
- a violation by a Supplier or subcontractor of an element of the workplace standards relevant to that Supplier or subcontractor; or
- any breach of an international human rights norm; or
- a breach by a Supplier of this Code.
How are grievances raised?
We may receive grievances through one of a variety of different channels, including through our Responsible Sourcing email inbox at becomplianceext@brilliantearth.com or through audit findings or other third-party stakeholders.
Who can raise a grievance?
Any individual or organization directly affected by an issue, or an organization with a formal mandate to represent individuals or communities directly affected, can make a complaint related to 33Carat. This includes all affected stakeholders such as workers, community members and/or whistle-blowers. They must have access to firsthand knowledge of the circumstances of the complaint and if they are an organization, they must be viewed as a legitimate representative of those affected.
What information is required to raise a grievance?
We request that you provide the following information so that we can properly process the complaint:
- Name of the 33Carat Supplier/subcontractor or employer. Please include the normal trading name of the company providing products or services to 33Carat.
- The name of the workers’ employer (if different), or any subcontractor.
- Name of work site including information to allow identification of the specific location of the factory, warehouse, business unit, or activity to which the complaint relates.
- Alleged breach: the element of the Supplier Standards or human rights norm which has or is being breached, a short description of the nature of the breach, any supporting evidence, and the date or period when the alleged breach occurred.
- The scale of the alleged problem. How many workers or products are involved? How has the community been impacted? Is there immediate physical danger?
- How serious is the breach to the workplace standards or this Code or how severe is the adverse impact on the international human rights norm?
- Local complexities: for example, ethnic, cultural or political issues that will have a bearing on the alleged violation and how it can be investigated.
- Contact point, including the name and full contact details of individual or organization raising the grievance. If the grievance is being handled on behalf of others, provide the contact details for the originators of the grievance.
- Confidentiality: whether the complainant or a party to the complaint must remain anonymous and the reasons for anonymity (see below).
Is the complaint confidential?
33Carat wishes all parties to have confidence in the complaint procedures. We therefore deal with grievance in an open and transparent way. Unless there are good reasons not to do so, all information received will be provided to all other parties to the grievance. If there is sensitive information, the preferred course is to agree with all parties on how to deal with this. In principle, details of individual employees or complainants should be provided.
However, we recognize the risk of retaliation facing workers making complaints about their employment conditions, or individuals raising issues related to human rights violations. In these circumstances, unless required by law or judicial order, we will not disclose the identities of workers to employers to open them up to retaliation, or the names of individuals who may have been subjected to human rights violations, where such disclosure would lead to their likely intimidation or victimization.
What if the complaint is anonymous?
Ideally, 33Carat would like to contact a complainant and verify the details of any allegation, but we do understand that at times, individuals may wish to make an anonymous grievance. Where anonymous grievances are received, we will investigate and determine whether there are grounds to the grievance. However, in the case of anonymous grievances we will not be able to inform the complainant with the outcome of those investigations, or the actions taken by the 33Carat. If an individual decides to make an anonymous grievance it is important that the complainant provides as much information as possible to substantiate their grievance.
How quickly will complaints be handled?
It is important that grievances are submitted to the 33Carat promptly so that breaches of our Supplier standards outlined in our Code or any negative human rights impact can be rectified as soon as possible. 33Carat strives to assess complaints and take expedient action. The timeline of addressing the complaint will be based on the nature, scale, complexity and geographic origin of the complaint.
What process will be followed when 33Carat receives a grievance?
33Carat will apply a framework of investigation principles, which can be adjusted depending on the nature of the particular issue and circumstances. The below outlines the steps 33Carat will follow if it receives a grievance:
- 33Carat will acknowledge receipt of a grievance in writing, or verbally if the complaint was received via a telephone call or in a face-to-face meeting with a complainant. This should occur within one week of receiving the grievance.
- 33Carat will then assess whether it can be accepted as a legitimate complaint. To be accepted, the complaint must:
- Relate to an activity by a 33Carat business entity or employee, or to a contractor, Supplier or licensee which is actively involved in the production or supply of products or services to the Company. Where it relates to a product, it must be at a tier of the supply chain that is traceable directly to 33Carat,
- Relate to a breach of this Code
- Contain sufficient information to enable the 33Carat to assess the substance of the grievance.
- If there is insufficient information provided by the complainant initially, 33Carat may ask for additional information or clarification about the nature of the complaint.
- 33Carat will identify the parties to the grievance. Depending on the nature of the grievance, these parties could include the complainant, the subject of the grievance, rightsholders, workers or others directly affected by the issues raised, groups representing or advocating on behalf of those directly affected, and other actors in the supply chain or in the 33Carat’s business operations, subsidiaries or associated business entities.
- The complainant will be informed whether the grievance has been accepted. If the grievance is not accepted, the reasons will be given to the complainant.
- At the end of the investigation, if allegations have been substantiated, the Responsible Sourcing team and internal partners will engage with the Supplier to develop a remediation plan. The Responsible Sourcing team will monitor progress against any remediation plan, provide updates to the Decision Group and, where appropriate, the individual or group that raised the grievance.
References and Resources
- Responsible Minerals Initiative
- OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas
- U.S. Dept. of Labour List of Goods Produced by Child Labour or Forced Labour
- World Diamond Council System of Warranties
- United Nations Guiding Principles on Business and Human Rights
- Responsible Jewellery Council
- ETI Base Code
- International Labour Organization Standards
- FTC Guides for the Jewellery, Precious Metals, and Pewter Industries
- Convention on International Trade in Endangered Species of Wild Fauna and Flora (CITES)
- Gemstones and Jewellery Community Platform Index for Conflict-Affected and High-Risk Areas
