Guide to Completing the Supplier Response Template Conflict Minerals Reporting Template (CMRT)

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Randolph Watts
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1 Project Management Office, May 2016 Conflict Minerals Guide to Completing the Supplier Response Template Conflict Minerals Reporting Template (CMRT) Slide 1

2 Content 1. Process steps for completing the CMRT 2. Instructions worksheet 3. Definition worksheet 4. Declaration worksheet 5. Smelter List worksheet 6. Key questions overview 7. Checker worksheet 8. Additional information Slide 2

3 Process steps for completing the CFSI Conflict Minerals Reporting Template (CMRT) 1. Select appropriate language in the Declaration worksheet 2. Review the Instructions worksheet 3. Review the Definitions worksheet 4. Complete the Declaration worksheet 5. Complete the Smelter List worksheet 6. Check for completion using the Checker worksheet 7. Save the completed Template 8. Send the completed Template to Achilles Slide 3

Completing the template Instructions worksheet The Instructions worksheet contains an introduction to the Conflict Minerals rule and explains how to complete the Declaration and Smelter List

4 Completing the template Instructions worksheet The Instructions worksheet contains an introduction to the Conflict Minerals rule and explains how to complete the Declaration and Smelter List worksheets. It is available in multiple languages through the drop-down language selector in the Declaration worksheet. Click on the Instructions worksheet and read through the instructions in the appropriate language Slide 4

5 Completing the template Definition worksheet The Definitions worksheet provides list of terms relating to conflict minerals. It is available in multiple languages through the drop-down language selector in the Declaration worksheet. Refer to this worksheet as necessary Slide 5

Completing the template Declaration worksheet part I The Declaration worksheet is used to collect basic company and sourcing information on tin, tantalum, tungsten and gold used in products.

6 Completing the template Declaration worksheet part I The Declaration worksheet is used to collect basic company and sourcing information on tin, tantalum, tungsten and gold used in products. Mandatory fields are marked with an asterisks (*). This drop-down menu allows you to select your language of preference. However, please provide all answers in ENGLISH ONLY. Insert your company s legal name. Please do not use abbreviations. Select A. Company Level. Refer to the Definitions worksheet for details. NOTE! You need to provide information for all the products you supply to ABB to the extent possible. We encourage you to respond with as much detail as possible. Complete all other fields in yellow as they are mandatory Slide 6

7 Completing the template Declaration worksheet part II Declaration worksheet Questions 1 to 7 1) Is the 3TG intentionally added to your product? (*) Answer Comments Tantalum (*) Tin (*) Gold (*) Tungsten (*) 2) Is the 3TG necessary to the production of your company s products and contained in the finished product that your company manufactures or contracts to manufacture? (*) Answer Comments Tantalum (*) Tin (*) Gold (*) Tungsten (*) 3) Do any of the smelters in your supply chain source the 3TG from the covered countries? (SEC term, see definitions tab) (*) Answer Comments Tantalum (*) Tin (*) Gold (*) Tungsten (*) 4) Does 100 percent of the 3TG (necessary to the functionality or production of your products) originate from recycled or scrap sources? (*) Answer Comments Tantalum (*) Tin (*) Gold (*) Tungsten (*) Question 1: From the drop-down menu, select the correct answer for each metal and provide additional information in the comments box. Answering No in Question 2 for any metal means that Questions 3 7 are automatically blocked out for this metal Questions 2-7: From the drop-down menu, select the correct answer for each metal and provide additional information in the comments box. 5) Have you received data/information for each 3TG from all relevant suppliers? (*) Answer Comments Tantalum (*) Tin (*) Gold (*) Tungsten (*) 6) Have you identified all of the smelters supplying the 3TG to your supply chain? (*) Answer Comments Tantalum (*) Tin (*) Gold (*) Tungsten (*) 7) Has all applicable smelter information received by your company been reported in this declaration? (*) Answer Comments Tantalum (*) Tin (*) Gold (*) Tungsten (*) Questions 5: If you answer Yes or No but x%, you must complete the Smelter List worksheet, mandatory if you answered Yes to question 2. Slide 7

8 Completing the template Declaration worksheet part III Declaration worksheet Questions A to J Answer the Following Questions at a Company Level Question Answer Comments A. Do you have a policy in place that addresses conflict minerals sourcing? (*) B. Is your conflict minerals sourcing policy publicly available on your website? (Note If yes, the user shall specify the URL in the comment field.) (*) Answer Yes or No. Provide details in the comments box C. Do you require your direct suppliers to be DRC conflict-free? (*) D. Do you require your direct suppliers to source the 3TG from smelters whose due diligence practices have been validated by an independent third party audit program? (*) E. Have you implemented due diligence measures for conflict-free sourcing? (*) F. Do you collect conflict minerals due diligence information from your suppliers which is in conformance with the IPC-1755 Conflict Minerals Data Exchange standard [e.g., the CFSI Conflict Minerals Reporting Template]? (*) DRC conflict-free is defined as products that do not contain conflict minerals that directly or indirectly financed or benefit armed groups in the DRC or an adjoining country The Conflict Free Smelter list is a list of mineral smelters and refiners who have been validated to be in compliance with the CFS program G. Do you request smelter names from your suppliers? (*) H. Do you review due diligence information received from your suppliers against your company s expectations? (*) I. Does your review process include corrective action management? (*) J. Are you subject to the SEC Conflict Minerals rule? (*) Submit your Response Slide 8

Completing the template Smelter List worksheets How to provide smelters Option 1: Provide the Smelter Identification Number in Column A and columns B to J will be auto populated Option 2: Select

9 Completing the template Smelter List worksheets How to provide smelters Option 1: Provide the Smelter Identification Number in Column A and columns B to J will be auto populated Option 2: Select metal and smelter name from drop-down reference list, or select Smelter not yet identified and manually enter the smelter name in a proper field. Option 1: Provide the smelter identification number Option 2: If a smelter is selected in the Smelter Reference List field, the smelter identification number and other information is populated automatically Note! If Smelter not yet identified, provide as much information as possible in the other cells. 5/31/2016 Slide 9

10 Supplier Response Template Key Questions Overview Conflict Minerals Reporting Template (CMRT) how to answer Questions 1 to 7 Question 1: Is the 3TG intentionally added to your product? Question 2: 2) Is the 3TG necessary to the production of your company s products and contained in the finished product that your company manufactures or contracts to manufacture? (*) If the answer provided for any of the 3TG listed is No, you do not need to complete any further information for that particular mineral all further questions will be automatically blocked. If you answer No for all of the minerals, your declaration is considered complete. If the answer provided for any 3TG listed is Yes, responses are required for Questions 3 to 7 for each 3TG as indicated by the yellow highlighted fields in the template. Question 3 and 4 related to origin; Question 5: related to the status of your supplier data collection activities; Question 6: related to the status of your smelter identification efforts; Question 7: related to the published CFSI Compliant Smelter List. PLEASE NOTE THAT ALL RESPONSES MUST BE IN ENGLISH Slide 10

Completing the template Checker worksheet The Checker worksheet is used to verify if all the requested information in the Template has been completed.

11 Completing the template Checker worksheet The Checker worksheet is used to verify if all the requested information in the Template has been completed. It is updated in real-time and can be reviewed at any time while using the Template. Note! Verify if all required fields have been completed before submitting the CMRT Look for the red field(s) and review the Notes for required actions You may use this link to directly access the field for completion Slide 11

12 Additional information General information SEC Conflict Minerals Ruling (link) OECD Guidelines (link) CFSI s Practical Guidance for Downstream Companies on Reasonable Practices to Identify Sources of Conflict Minerals (link) Additional information for suppliers ABB Supplier Code of Conduct (link) Supplying to ABB (video) Supplying to ABB Portal (link) ABB Material Compliance for Suppliers (link) ABB Policy on Conflict Minerals (link) Conflict Minerals (video) 5/31/2016 Slide 12

13 Disclaimer The purpose of this training material is to provide background information to ABB suppliers on conflict minerals, communicate ABB s requirements regarding conflict minerals and provide guidance on how to fulfil these requirements. The recommendations in this training material are based on ABB s understanding and experience and do not relieve ABB suppliers from their obligations to follow all applicable legal requirements, including contractual obligations. This training material does not claim to interpret any such laws, regulations, requirements, standards or contracts. While reasonable efforts have been made to check the accuracy of this training material, ABB does not make any representations or warranties with respect to the accuracy or completeness of the contents of this training material, and ABB specifically but without limitation disclaims any implied warranties of merchantability or fitness for a particular purpose as concerns this training material. The information in this training material is not to be considered to be legal or other professional advice. If legal advice or other professional assistance is required, you should engage the services of a competent professional. Slide 13

Supplier Training - Module 4: Strong management systems

Supplier Training - Module 4: Strong management systems The Conflict-Free Sourcing Initiative www.conflictfreesourcing.org @EICCoalition @GeSIConnect CFSI, the Conflict-Free Sourcing Initiative, is one