Due Diligence on Refinery
This is a refinery-specific due diligence questionnaire. It is used when a party claims to be a refinery, refinery owner, operator, or authorised seller connected to a refinery.
The purpose is to confirm that the refinery is real, legally permitted to operate, and free from major hidden risks (expired licences, safety issues, environmental violations, or ownership problems).
If a full KYC/CIS has already been submitted to Ametheus, simply quote the reference/date in Section A and provide only the refinery-related information below.
Best practice sequence: Standing KYC → this Refinery Due Diligence → Seller Due Diligence (if applicable) → Proof of Product (POP) → LOI / SPA discussion.
Header Information
| Field | Details |
|---|---|
| Reference / Enquiry ID | |
| Date | |
| Completed by (Name / Company / Role) | |
| Contact (Email / Phone / WhatsApp) |
SECTION A – Refinery Identification
| No. | Question | Answer |
|---|---|---|
| A1 | Full legal name of the refinery / operating company | |
| A2 | Role of the party providing this information | ☐ Refinery Owner ☐ Operator ☐ Authorised Seller / Allocation Holder ☐ Other: |
| A3 | Company registration number / Jurisdiction | |
| A4 | Registered address of the company | |
| A5 | Physical location of the refinery (City / Country) | |
| A6 | KYC/CIS already submitted to Ametheus? | ☐ Yes – Reference / Date: ☐ No – Full KYC attached |
| A7 | Ultimate Beneficial Owner(s) / Key directors | |
| A8 | Sanctions / compliance status confirmation | ☐ Confirmed clean of OFAC, EU, UN, UK and relevant lists ☐ Screening report attached |
SECTION B – Company Identity & Ownership
| No. | Document / Information Required | Details / Reference |
|---|---|---|
| B1 | Certificate of Incorporation / Company Registration | |
| B2 | Memorandum & Articles of Association | |
| B3 | Latest shareholding structure / ownership chart | |
| B4 | Board resolution authorising the person dealing with Ametheus | |
| B5 | Tax registration / VAT / GST certificates |
Documents to attach: Clear coloured scans of all the above.
SECTION C – Key Operating Licences & Permits
| No. | Licence / Permit | Why it matters | Validity / Expiry Date | Status |
|---|---|---|---|---|
| C1 | Industrial / Operational Safety Permit | Confirms the plant is allowed to operate high-risk units | ☐ Valid ☐ Expired ☐ Suspended | |
| C2 | Environmental / Ecological Permit + EIA Approval | Confirms compliance with emission, waste and water rules | ☐ Valid ☐ Expired | |
| C3 | Fire Safety Certificate | Critical for flammable product handling | ☐ Valid ☐ Expired | |
| C4 | Hazardous Substances / Chemical Handling Licence | Allows storage and processing of crude and products | ☐ Valid ☐ Expired | |
| C5 | Construction & Operation Permits | Proves the plant is legally built and operating | ☐ Valid ☐ Expired | |
| C6 | Energy Efficiency Certificate (if required) | Confirms energy standard compliance | ☐ Valid ☐ N/A |
Notes on EIA (Environmental Impact Assessment): The EIA approval letter from the Ministry of Environment / Ecology must be provided. Supporting recent environmental monitoring reports are preferred.
SECTION D – Special Licences (if applicable)
| No. | Licence / Approval | Applicable? | Details / Reference |
|---|---|---|---|
| D1 | Subsoil / Mining / Upstream licence (if the refinery extracts its own crude) | ☐ Yes ☐ No | |
| D2 | Local Content Compliance certificates | ☐ Yes ☐ No | |
| D3 | Foreign investment / national security approvals | ☐ Yes ☐ No | |
| D4 | Antimonopoly / competition authority approvals | ☐ Yes ☐ No |
SECTION E – Compliance & History Records
| No. | Information Required | Details / Period |
|---|---|---|
| E1 | Environmental monitoring reports | Last 3–5 years |
| E2 | Safety audit reports | Last 3–5 years |
| E3 | List of any fines, violations, suspensions or corrective actions | Last 5 years |
| E4 | Proof that major permits have been renewed on time | |
| E5 | Central Bank / currency control registration (if applicable for foreign currency deals) |
Documents to attach:
- Recent environmental monitoring reports
- Recent safety audit reports
- Any relevant fine / violation records (or declaration of clean record)
SECTION F – Supporting Commercial Documents
| No. | Document | Available? | Remarks |
|---|---|---|---|
| F1 | Current feedstock supply contracts or offtake agreements | ☐ Yes ☐ No | |
| F2 | Insurance policies (property, liability, environmental) | ☐ Yes ☐ No | |
| F3 | Recent independent third-party technical audit or inspection reports | ☐ Yes ☐ No |
SECTION G – Additional Information
| Item | Details |
|---|---|
| Refinery nameplate capacity | |
| Main products produced | |
| Preferred grades available for sale | |
| Any existing SPA / LOI / allocation reference | |
| Other remarks |
Important Notes
- Prefer documents issued within the last 3–5 years with clear issue and expiry dates.
- We do not accept product originating from any sanctioned country.
- Expired, suspended, or missing core permits (especially Industrial Safety and Environmental permits) are treated as major red flags.
- All information is treated as confidential.
- False or misleading documents will result in immediate rejection and possible blacklisting.
Self Declaration
Name: _______________________________ Designation / Company Stamp: _______________________________ Signature / Date: _______________________________
I/We confirm that the information and attached documents are true, accurate and current to the best of our knowledge at the date of this form. We understand that false or misleading information may result in immediate termination of discussions and possible reporting to relevant authorities.
Submission Instructions Return as a single PDF package with all attachments to: [email protected]
Subject Line format: Refinery DD – [Refinery Name] – [Company Name] – [Date]
