Reasonable Country of Origin Inquiry and Due Diligence - Conflict Mineral Webinar by Assent Compliance. For more information contact info@assentcompliance.com or visit www.assentcompliance.com
Conflict Mineral Due Diligence and Reasonable Country of Origin Inquiry
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Section 1502
Conflict Minerals
STEP 2 – RCOI and Due Diligence
Assent Compliance
Krystal Noseworthy-Baker
613.882.1429
Krystal.baker@assentcompliance.com
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Agenda
• Assent Compliance Corporate Overview
• Brief recap of Dodd-Frank Act Section 1502
• Assent Compliance involvement with Dodd-Frank Act
• Reasonable Country of Origin
• What Does the Law State?
• Implementation
• Application of Due Diligence
• OECD Due Diligence
• Practical steps
• Assent Compliance Services
• Q&A
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About Assent
Assent Compliance delivers SaaS Environmental Compliance Services to
companies who must comply with local, national and global environmental
regulations. Assent also supports its software division with a team of highly
experienced industry consultants to provide our clients with turnkey
compliance solutions. Industry experts at Tier 1 companies rank Assent
Compliance amongst the top environmental compliance solutions in the
world and one of the only global solution providers to offer a full service
solution from end to end.
Our Mission
Is to help our clients comply with environmental regulations in the
most efficient and cost effective manner possible. This is achieved
through SaaS automation of processes and working with clients
to build efficient internal compliance programs that meet global
compliance requirements.
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How The Assent Compliance
Management System Works
Integrates with
Pulls Bill of Material (BOM) Communicates with Supply
Major ERP/PLM
into a centralized compliance Chain in bi-directional fashion
Systems
data base or operates as a to procure environmental
stand-alone system. information from suppliers
Modules to Comply with
All Major Environmental Build IPC 1752-A FORMS.
Regulations Import/Export via XML
Built-in CRM for compliance
Homogenize proprietary
tasks, due diligence reporting
supplier DOC formats in xml
and audit trails
Allows internal Staff to Acts as a repository for any
Make Engineering Override compliance related material
assessments
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Consulting Services
Compliance Assessment Services For Environmental Regulations
Internal Standard Operating Procedure Consulting
Compliance Plan Development
Compliance Strategy Consulting
Conflict Mineral Compliance
IT System Integration
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our offices
Munich, Germany
london, UK
Ottawa, Ontario Can-
ada (HQ)
Taipei,
Taiwan
Bangalore, India
New York,
New York
Kenya
(Conflict Minerals)
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Section 1502 – Dodd-Frank Wall Street
Reform and Consumer Protection Act
The basics
• The Conflict Minerals (3TGs)
• Tin (Cassiterite Ore)
• Tungsten (Wolframite)
• Tantalum (Coltan Ore)
• Gold
• The Countries
• Democratic Republic of Congo • Congo Republic
• Central Africa Republic • Tanzania
• Sudan • Burundi
• Zambia • Rwanda
• Angola • Uganda
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• Conflict Minerals Definition:
• Mined in conditions of armed conflict and abuses of human rights
As per 17 CFR Parts 229 and 249 “The Conflict Minerals” Rule:
“It is the sense of the Congress that the exploitation and trade of conflict minerals originat-
ing in the Democratic Republic of the Congo is helping to finance conflict characterized
by extreme levels of violence in the eastern Democratic Republic of the Congo, particularly
sexual – and gender-based violence, and contributing to an emergency humanitarian situ-
ation therein”
• This situation attracts Media attention
• Child Soldiers
• Sexual assault on a mass scale
• Intimidation and abuse of local populace
• Armed control of mines, trading routes, and other strategic areas
More Media attention = More Consumer attention
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Section 1502 – Dodd-Frank Wall Street
Reform and Consumer Protection Act
SCOPE
• Companies that register with the SEC
• 10K (US)
• 20F (Foreign)
• 40F (Canadian)
Legal Wording: Issuers that File Reports Under Sections 13(a) and 15(d) of the Exchange Act
• Conflict Minerals “necessary to the functionality or production” of its products manufactured
(or contracted to be manufactured)
• Suppliers to impacted SEC filing companies are affected by the process, even if they are not an
SEC filing company themselves
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Principal Requirements (as part of
annual reporting to SEC) – FINAL RULES
• Reasonable Country of Origin Inquiry
• Trace back of all 3TGs to country of origin
• Determine if 3TGs are from scrap or recycled sources
Possible Scenarios and Requirements stemming from the RCOI:
Scenario 1:
• If the Issuer knows all 3TGs did not originate in DRC Countries or are from scrap or recycled
sources
OR
• If the Issuer has no reason to believe that the 3TGs may have originated in the covered coun-
tries and may not be from scrap or recycled sources.
Requirements:
• Disclosure of the RCOI on Issuer Internet website
• File Form SD with the SEC as part of annual filings:
»» Disclose the determination
»» Disclose the process
»» Disclose the internet address of the site with the RCOI Information
• Maintain reviewable records of the investigation and determination
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Principal Requirements (as part of
annual reporting to SEC) – FINAL RULES
CONT’D
Scenario 2:
• If the Issuer knows or has reason to believe that the 3TGs may have originated in the covered countries.
OR
• If the Issuer knows or has reason to believe that the 3TGs may not be from scrap or recycled sources.
Requirements:
• All the above tasks plus
• Create Conflict Minerals Report
• Filed as exhibit to the Form SD
• Make report available on the Internet website
• Same as proposed – All of the above must be audited by a 3rd party
• 10K/20F audited as a part of overall SEC filing
• Conflict Minerals Report, if required, must be audited separately
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Final Rules Flowchart
Does the issuer file re- Does the issuer
ports with the SEC under manufacture or Are conflict minerals necessary to the
YES YES
sections 13(a) or 15(D) of the contract to functionality or production of the product
exchange act? manufacture products? manufactured or contracted to be
manufactured?
No
No
File does not apply. No
END
YES
YES Were the conflict minerals outside the sup-
ply chain prior to January 31, 2013?
No, if newly mined
No, if potentially scrap or recycled
On a reasonable country of origin inquiry (RCOI), No
YES does the issuer know or have reason to believe that
the conflict minerals may have originated in the DRC Based on the RCOI, does the issuer know or reasonably
or an adjoining country (the covered countries)? believe that the conflict minerals come from scrap or
recycled?
No
YES
File a form SD that discloses the issuer’s determination and
Exercise due diligence on the source and chain of custody of its conflict minerals follow- briefly describes the RCOI and the results of the inquiry.
ing a nationally or internationally recognized due diligence framework, if such framework
END
is available for a specific conflict mineral.
In exercising this due diligence does the issuer determine the conflict minerals are not from
Yes
the covered countries or are from scrap or recycled.
File a form SD the discloses the issuer’s determination and
No briefly describes the RCOI and due diligence measures taken
and the results thereof.
File a form SD with a conflict minerals Report as an exhibit, which includes a description of END
the measures the issuer has taken to exercise due diligence.
In exercising due diligence, was the issuer able to determine whether the conflict minerals
No Is it less than two years after the
financed or benefitted armed groups?
effectiveness of the rule (four years
for smaller Reporting companies)?
Yes
The conflict minerals report must also include and independent private sector audit report, The Conflict minerals Report must also include
which expresses an opinion or conclusion as to whether the design of the issuer’s due diligence No Yes
a description of products that are “DRC Conflict
measures is in conformity with the criteria set forth in the due diligence framework and wheth- Undeterminable” and the steps taken or that will
er the description of the issuer’s due diligence measures is consistent with the process under- be taken, if any, since the end of the period covered
taken by the issuer. Also, include a description of the products that have not been found to be in the last Conflict Minerals Report to mitigate the
DRC Conflict free, the facilities used to process the necessary conflict minerals in those prod- risk that the necessary conflict minerals benefit
ucts, the country of origin of the minerals and the efforts to determine the mine or location or armed groups, including any steps to improve due
origin of those minerals with the greatest possible specificity. END diligence. No audit is required. END
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Section 1502 – Dodd-Frank Wall Street
Reform and Consumer Protection Act
Assent Compliance’s Involvement with Dodd-Frank
Section 1502
• Meeting with SEC
• Over the course of Monday December 12th and Tuesday December 13th, Assent Compliance
met separately with Commissioner Paredes, Commissioner Walter and Commissioner Aguilar
for 1 hour each to discuss the following items in respect to Dodd Frank Section 1502
»» NAM and Tulane Reports
»» Compliance costs
»» Practical compliance activities
»» Impact on industry
»» Impact on supply chains
»» Feedback on proposed rules
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• On Wednesday December 14th, Assent Compliance participated in Conflict Mineral discussion
panel with the following panelists:
• GE
• AMD
• Brookings Institute
• RIM
• Claigan Environmental
• KEMET
• The panel discussed various issues surrounding Conflict Minerals and fielded questions from
the audience (which was comprised of congress staff, journalists, industry groups and business
representatives)
• Assent Compliance is included 4 times in the Final Rules from the SEC based on our input
at the meeting and on a separate submitted letter we provided to the SEC.
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Defining the Reasonable Country of
Origin Inquiry (RCOI)
First, let’s examine key points from the final rules regarding an issuer’s approach to an RCOI:
• “The final rule does not specify what steps and outcomes are necessary to satisfy the reasonable
country of origin inquiry requirement because, as stated in the Proposing Release, such a deter-
mination depends on each issuer’s particular facts and circumstances.” (Pg. 147)
• “..satisfy the reasonable country of origin inquiry requirement, an issuer’s reasonable country of
origin inquiry must be reasonably designed to determine whether the issuer’s conflict miner-
als did originate in the Covered Countries, or did come from recycled or scrap sources, and it
must be performed in good faith” (Pg. 147-148)
“we do view an issuer as satisfying the reasonable country of origin inquiry standard if it seeks
and obtains reasonably reliable representations indicating the facility at which its conflict minerals
were processed and demonstrating that those conflict minerals did not originate in the Covered
Countries or came from recycled or scrap sources.” (Pg. 147-148)
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Defining the Reasonable Country of
Origin Inquiry (RCOI) – Continued
While there is no specification as to the steps to be undertaken to satisfy the RCOI, the goal that
your RCOI must be designed to achieve is clear – A reasonable determination of the whether or
not the conflict minerals used your products were processed at facilities that do not use conflict
minerals or that your conflict minerals come from recycled or scrapped sources.
Too many companies are undertaking an approach that will amount to sending a spreadsheet to
all of their direct suppliers, then using those representations as the basis for an “Undeterminable”
status (IE: “They don’t know, so I don’t know”).
Not only would this not be in line with the 2nd and 3rd bullets above, It would also likely not pass
an audit not to mention leave your company unprepared for the date when your Undeterminable
status will expire (2 or 4 years)
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Reason to Believe...
One of the key changes to the SEC Regulations is the trigger for a Conflict Minerals report:
• Under the proposed rules, an issuer would have had to undertake OECD Due Diligence
and produce a Conflict Minerals Report if they could not prove that their 3TGs did not
originate from the covered countries or come from a scrapped or recycled source.
This would have required issuers to prove a negative and has been changed in the final rules.
• The trigger for whether or not a Conflict Minerals report and applicable Due Diligence is
required under the final rules is whether or not the issuer has “reason to believe” that the
3TGs in their products originated from one of the covered countries.
Here is what the final rules says about this revised approach:
“This revised approach does not require an issuer to prove a negative to avoid moving to step three,
but it also does not allow an issuer to ignore or be willfully blind to warning signs or other cir-
cumstances indicating that its conflict minerals may have originated in the Covered Countries.”
(Pg. 153)
As with many other parts of the Conflict Minerals provision, the SEC has left what constitutes
“reasonable” up to the issuer. If your RCOI is “reasonably designed” then you should be able to
make your RCOI determination to the “reasonableness level” prescribed in your RCOI plan.
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Reason to Believe... Continued
Here is the actual text from the Final Rules:
“Consistent with this approach, issuers may explicitly state that, if true, their reasonable country
of origin inquiry was reasonably designed to determine whether the conflict minerals did originate
in the Covered Countries or did not come from recycled or scrap sources and was performed in
good faith, and the issuer’s conclusion that the conflict minerals did not originate in the Covered
Countries or came from recycled or scrap sources was made at that reasonableness level.“
Summary
• You must design an RCOI that will help determine the country of origin for your 3TGs
• Simply sending the EICC template to your direct suppliers is not sufficient. You should also:
»» Analyze supplier submissions
»» Correct insufficient response
»» Map supply chains where the risk is greater
• The determining factor in your RCOI is whether or not there is “reason to believe” – make sure
your Compliance Plan outlines your RCOI methodology in detail so you that you can demon-
strate and verify your “reasonableness level”
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Practical approaches to an RCOI
Here are some standard guidelines and practices to follow for your RCOI:
• Use a standard form
»» EICC Rev 1 or 2 is good template and will typically reduce the burden on your
suppliers as they will likely have one completed on hand
• Establish a supplier portal
»» In order to make sure that all responses are centralized in one place, setup a por-
tal through which your suppliers can submit declarations for Conflict Minerals
compliance
»» Reduces time and effort on gathering, collecting and analyzing Declarations
internally
»» Allows for greater control over the Compliance Process (a part of due diligence)
• Assign Risk Profiles to your suppliers
»» Should be based on size, materials provided and past experience with respect to
material declarations
»» Allows you to determine who should and should not be subject to correct actions
or source mapping
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Due Diligence
When examining Due Diligence, we will look at 3 major sources for guidance:
• OECD Guidance on Due Diligence
• Other material regulations
• Standard Industry practices
OECD Guidance
There are 5 steps behind OECD Due Diligence:
1. Establish strong company management systems
2. Identify and assess risks in the supply chain
3. Design and implement a strategy to respond to identified risks
4. Carry out 3rd party audit of smelter/refiner’s due diligence practices
5. Report annually on supply chain due diligence
#4 does not apply to most of you, so we will focus on the other 4.
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OECD Guidance on Due Diligence – Step 1
1. Establish strong company management systems
“OBJECTIVE: To ensure that existing due diligence and management systems within companies
address risks associated with minerals from conflict affected or high-risk areas.”
* Practical Interpretation/Implementation: Establish Strong Communication Systems
• Develop thorough and comprehensive documentation:
• DRC-Free Supply Chain Policy
»» OECD Due Diligence Guidance Annex II as basis
• Standard Operating Procedure
»» Conflict Minerals Work Flow Document as part of an overall Compliance Plan
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OECD Guidance on Due Diligence – Step 1
continued
NOTE: Final Rules eliminated documentation retention timelines HOWEVER OECD Due
Diligence Guidelines state (p.26):
“Maintain related records for a minimum of five years, preferably on a computerised database.”
• Buy-in, Training and Communication
• Throughout all affected areas of company at all levels :
»» Management is especially essential
»» Finance, Procurement, Engineering or Product Development/Design, Quality
Departments
• Throughout the supply chain:
»» Don’t surprise your suppliers by simply adding to existing contracts and not high-
lighting the additions and new commitments you are asking for
»» Training on both the basics of the Final Rules AND the Due Diligence associated
will help suppliers help you
continued...
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OECD Guidance on Due Diligence – Step 1
continued
»» Clear simple communication of expectations and the ability to work with them
through those expectations
• What you will be asking for
• When you will be asking for it
• How often you will be asking for it
• The “now” answer versus what you ultimately need
»» Improvement Plans
»» Contract renewal and extension = Leverage
• Supply Chain Mapping
• Transparency is vital
»» NAFTA already requires CoO marking – leverage existing processes and experiences
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OECD Guidance on Due Diligence – Step 2
2. Identify and assess risks in the supply chain
“OBJECTIVE: To identify and assess risks on the circumstances of extraction, trading, handling and
export of minerals from conflict-affected and high-risk areas.”
*
Practical Interpretation/Implementation: Collect Information, Map Supply Chain
and Identify Risk.
• Supplier Data Gathering
• EICC-GeSI Rev.2
»» Not a legal requirement but is industry standard
• Allows for standardization across data collection
• Simplifies Reporting
• Collate and Assess Information
• Simply working with spreadsheets is an arduous, difficult task
»» Contrary to OECD Guidelines recommended practice for records maintenance
and retention
• Software/Computerized Database
• Supply Chain Mapping stems from information collected
• Categorization into Risk Profiles based on information collected
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• Step 1 does contribute to and work coherently with Step 2
• Clear expectations to suppliers helps gather the most information possible allowing for
reduction of Risk or, at the very least, a clear identification of Risks
• Compliance Plan and SOP include Risk Profiles and the work flow to follow depending on
which profile a supplier falls under
• Supply Chain Mapping should already establish issues/risks based on the “where”
»» Identification of Smelters/Refiners (to the best of your ability)
»» Identification of “Red Flag” Locations / More Severe Risk Profile
• Step 2 and 3 are highly interdependent
• Chronologically Step 3 precedes Step 2
• Risk Management Committee and Risk Profiles
»» Clear Rules for classification
»» Clear Steps to follow after supplier is classified
• I.e.: Which questions to ask the supplier next?
• Have they followed all elements of due diligence?
• This feeds up to the smelter/refiner.
• Further Quality Control
• Working with supplier to mitigate risk
• Spot Checks
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OECD Guidance on Due Diligence – Step 3
3. Design and implement a strategy to respond
to identified risks
“OBJECTIVE: To evaluate and respond to identified risks in order to prevent or mitigate adverse
impacts. Companies may cooperate to carry out the recommendations in this section through joint ini-
tiatives. However, companies retain individual responsibility for their due diligence, and should ensure
that all joint work duly takes into consideration circumstances specific to the individual company.”
* Practical Interpretation/Implementation: Establish a Risk Management Committee,
Risk Profiles for Suppliers, Work Flow based on Categorization.
• Development of Risk Management Committee
• Clear responsibilities to a specific well-informed group to ensure the work flow is followed
and necessary decisions are made on suppliers based on their categorization
• Create Risk Profiles based on supplier responses given
• Develop SOP and Compliance Plan
»» Work Flow based on Categorization under defined Risk Profiles
• Development of Risk Profiles
• Clear “rules” to categorize suppliers efficiently = Risk Identification
»» OECD Due Diligence Annex II
»» EICC-GeSI Conflict-Free Smelter Program
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»» Existing Agreements
»» OECD Guidelines for Multinational Enterprises, international human rights and hu-
manitarian law
»» Size of Supplier
»» Are they an SEC Issuer?
• Implement the Risk Management Plan
• Follow the SOP/Compliance Plan
»» Identifies steps to working with supplier
»» Identifies decision points
• When to identify new suppliers
• When to end an existing relationship
• Clear work flow and clear communication with suppliers – optimizing the relationship and cooperation
»» Progressive performance improvement
»» Reasonable Timeframes
• Avoid ending relationships while mitigating risk
C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REAC H | R o H S | CP s i a | RSL | p r o p 6 5 ]
28. AS SENTCOM PLIANCE
info@assenTcompliance.com w w w. a s s e n T c o m p l i a n c e . c o m Tel: 613.290.8044
OECD Guidance on Due Diligence – Step 5
5. Report annually on supply chain due diligence
“OBJECTIVE: To publicly report on due diligence for responsible supply chains of minerals
from conflict-affected and high-risk areas in order to generate public confidence in the measures
companies are taking.”
* Practical Interpretation/Implementation: Conflict Minerals Form SD and Conflict
Minerals Report.
• Yearly Reporting is already a requirement of the Conflict Minerals Final Rules
• Financial Reporting Requirements under Final Rules
»» Form SD
»» Conflict Minerals Report (If applicable)
• Audit
»» Website Publication
• Supply Chain Due Diligence Policy, Compliance Plan, SOP
»» Will already account for reporting requirements
• RCOI
• Process
• Determination/Status
• Improvements and Evolution in Program
C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REAC H | R o H S | CP s i a | RSL | p r o p 6 5 ]
29. AS SENTCOM PLIANCE
info@assenTcompliance.com w w w. a s s e n T c o m p l i a n c e . c o m Tel: 613.290.8044
• Guidance also suggests rolling it into annual sustainability or corporate responsibility reports
• Supply Chain Due Diligence Policy
• SOP and Compliance Plan
»» At Least the Risk Profiles/Risk Mitigation Work Flows
• Audits
• Determination/Status
• Improvements and Evolution in Program
C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REAC H | R o H S | CP s i a | RSL | p r o p 6 5 ]
30. AS SENTCOM PLIANCE
info@assenTcompliance.com w w w. a s s e n T c o m p l i a n c e . c o m Tel: 613.290.8044
Other Material Regulations - RoHS II
Due Diligence and Testing
Determination of Necessary Information
• Assess what types of documents are required based on substance presence risk and supplier risk
• Technical judgement allowed
Collection of Information
• Types of allowed documentation
»» Supplier declarations
»» Material Declarations
»» Analytical test results
C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REAC H | R o H S | CP s i a | RSL | p r o p 6 5 ]
31. AS SENTCOM PLIANCE
info@assenTcompliance.com w w w. a s s e n T c o m p l i a n c e . c o m Tel: 613.290.8044
Due Diligence and Testing
Evaluation of Data
• Mandatory for Manufacturers
• Requirements include:
• Establish procedures for evaluating collected information / documentation
• Evaluate whether each part, component, or material meets the materials restriction re-
quirements of RoHS Recast
• Evaluate whether the document is of sufficient quality to include in the technical
documentation
»» Criteria met = Included
»» Criteria not met = further corrective actions or analysis
Ensuring Validity of Data
• Requirements:
• periodic review of the documents contained in the technical documentation to ensure that
they are still valid;
• technical documentation must reflect any changes to materials, parts or sub-assemblies
C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REAC H | R o H S | CP s i a | RSL | p r o p 6 5 ]
32. AS SENTCOM PLIANCE
info@assenTcompliance.com w w w. a s s e n T c o m p l i a n c e . c o m Tel: 613.290.8044
Due Diligence and Testing
STANDARD PRACTICE:
• Annual Updates – with the Annual Audit!
• Significant Product Changes = Update File
• Completeness in the Technical File:
• Consumables
• Out of Scope Parts
• Not part of the RoHS Compliance THEREFORE not required to be included
»» Recommended that the out of scope and consumable parts are footnoted
Technical Files – In Practice…
C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REAC H | R o H S | CP s i a | RSL | p r o p 6 5 ]
33. AS SENTCOM PLIANCE
info@assenTcompliance.com w w w. a s s e n T c o m p l i a n c e . c o m Tel: 613.290.8044
Due Diligence and Testing – EN 62321
Electrotechnical products – Determination of levels of six regulated substances (lead, mercury,
cadmium, hexavalent chromium, polybrominated biphenyls, and polybrominated diphenyl
ethers)
• EU Standard for RoHS testing
• Not Mandatory…HOWEVER:
»» Most effective method of risk management
»» Usually less costly than alternative (further/increased) supplier data gathering
and/or corrective action methods
»» Testing to an established standard allows you to quote it in the file = lends credibility
• If you have done it right, others don’t have to!
• Recommended to have at least scan testing to EN 62321:2009 in technical file
»» XRF
C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REAC H | R o H S | CP s i a | RSL | p r o p 6 5 ]
34. AS SENTCOM PLIANCE
info@assenTcompliance.com w w w. a s s e n T c o m p l i a n c e . c o m Tel: 613.290.8044
RoHS II Due Diligence and Testing – EN 62321
Declaration and Test Report Sample Review
Test Report No. : CE/2010/22946 Date : 2010/02/24 Page : 4 of 5
BOURNS TRIMPOT ELECTRONICAS, LIMITADA
DEL CURCE A SAN ANTONIO DE BELEN AUTOPISTA CANAS-150 MTS
*CE/2010/22946* MATERIAL DECLARATION SHEET
AL OESTE HEREDIA, COSTA RICA. Test Report No. : CE/2010/22946 Date : 2010/02/24 Page : 2 of 5
BOURNS TRIMPOT ELECTRONICAS, LIMITADA *CE/2010/22946*
DEL CURCE A SAN ANTONIO DE BELEN AUTOPISTA CANAS-150 MTS
PBB/PBDE analytical FLOW CHART AL OESTE HEREDIA, COSTA RICA.
No. Construction Element Material Group Report Note
1) Name of the person who made measurement: Roman Wong Test results by chemical method (Unit: mg/kg)
2) Name of the person in charge of measurement: Shinjyh Chen Test Item (s):
Method Result
MDL
(Refer to) No.1 1 Element Ink + Ceramic B
First testing process Cadmium (Cd) (1) n.d. 2
Sample
Lead (Pb) (2) 2520 2
Confirmation process
Bourns Trimpot Electronicas, Limitada
Optional screen process
Mercury (Hg) (3) n.d. 2
Hexavalent Chromium Cr(VI) by (4) n.d. 2 2 Back plate 263 Copper alloy A
Del Cruce a San Antonio de Belen
Sample pretreatment alkaline extraction
Sum of PBBs n.d. -
Test Report No. 150 Mts Al Oeste : 2010/02/24
Autopista Cañas - : CE/2010/22946 Date
Monobromobiphenyl of 5
Page : 1
Dibromobiphenyl
n.d.
n.d. 3 5
5
Back plate 220 Copper alloy A
Screen analysis
BOURNS TRIMPOT ELECTRONICAS, LIMITADA Tribromobiphenyl *CE/2010/22946* Heredia, Costa Rica
n.d. 5
DEL CURCE A SAN ANTONIO DE BELEN AUTOPISTA CANAS-150Tetrabromobiphenyl
MTS n.d. 5
Pentabromobiphenyl n.d. 5
AL OESTE HEREDIA, COSTA RICA. Hexabromobiphenyl n.d. 4 5 Wire Copper Alloy A
Sample extraction/ Heptabromobiphenyl n.d. 5
Soxhlet method Octabromobiphenyl n.d. 5
Nonabromobiphenyl
The following sample(s) was/were submitted and identified by/on behalf of the client as :
n.d. No. : CE/2010/22946 Date : 2010/02/24
5 5
5
Mold compound
Page : 3 of 5
Various
Test Report A
Decabromobiphenyl n.d.
(5)
BOURNS TRIMPOT ELECTRONICAS, LIMITADA *CE/2010/22946*
Concentrate/Dilute Sum of PBDEs n.d. -
DEL CURCE A SAN ANTONIO DE BELEN AUTOPISTA CANAS-150 MTS
Sample Description Extracted solution : Monobromodiphenyl ether
BOURNS MODELS PWR263, PWR163, PWR220T, PWR221T AL OESTE HEREDIA,n.d. COSTA RICA.
5
Test Report No. : CE/2010/22946 Date : 2010/02/24
Style/Item No. Page : 5 of 5
:
Dibromodiphenyl ether
THICKFILM POWER RESISTORS/ELEMENT ether
n.d. 5
Tribromodiphenyl n.d. Note A: RoHS compliance.
5
Sample Receiving Date
BOURNS TRIMPOT ELECTRONICAS, LIMITADA : 2010/02/11
Filter *CE/2010/22946* Tetrabromodiphenyl ether n.d. 5
DEL CURCE A SAN ANTONIO DE BELEN AUTOPISTA CANAS-150 MTS
Testing Period : 2010/02/11 TO 2010/02/24 Pentabromodiphenyl ether n.d. Note B: ROHS Compliant By Exemption 5 (lead
1) These samples were dissolved totally by pre-conditioning method according to below flow chart.
5 in glass of
AL OESTE HEREDIA, COSTA RICA.
Hexabromodiphenyl ether (Cr 6+ test method excluded)
n.d. 5
Heptabromodiphenyl ether 2) Name of the person who electronic components)
n.d. made measurement: Climbgreat Yang
5
Analysis by GC/MS
============================================================================================ person in charge of measurement: Troy Chang
Octabromodiphenyl ether 3) Name of the
n.d. 5
Nonabromodiphenyl ether n.d. 5
Decabromodiphenyl ether Cutting / Preparation
n.d. 5
Test Requested :
Issue ReportIn accordance with the RoHS Directive 2002/95/EC, and its amendment
Requirement:
Review points
directives. TEST PART DESCRIPTION:
NO.1 : MIXED ALL PARTS Sample Measurement
Hg Cr6 +
Test Method : Note: 1. mg/kg = ppm; 0.1wt% = 1000ppm
With reference to IEC 62321: 2008 Pb、Cd Contain Pb Hg Cr+6 PBB and PBDE< 0.1 % (1000 ppm) by
2. n.d. = Not Detected
Procedures for the Determination of Levels of=Regulated Substances in
3. MDL Method Detection Limit Acid digestion by suitable acid weight. digestion with
Microwave Add appropriate amount of
Electrotechnical Products.
• Directive Stated
4. "-" = Not Regulated depended on different sample
5. The sample(s) was/were analyzed on behalf of the applicant astable) sample in one testing. /HCl/HF 0.01
material (as below mixing Contain Cd <
HNO3 % (100 ppm) by weight
digestion reagent
(1) Determination of Cadmium by ICP-AES. The above result(s) was/were only given as the informality value.
(2) Determination of Lead by ICP-AES.the results shown in this test report refer only to the sample(s) tested. This test report cannot be reproduced, except in full, without prior written permission of the Company.
Unless otherwise stated
Filtration
(3) Determination of Mercury byReport is issued by the Company under its General Conditions of Service printed overleaf or available on request and accessible at http://www.sgs.com/terms_and_conditions.htm. Attention
This Test ICP-AES.
除非另有說明,此報告結果僅對測試之樣品負責。本報告未經本公司書面許可,不可部分複製。
Heat to appropriate
• Standard Stated
is drawn to the limitation of liability, indemnification and jurisdiction issues defined therein. Any holder of this Test Report is advised that information contained hereon reflects the Company’s findings
(4) Determination of Hexavalent Chromium and within the limits of Client’s instructions, if any. The Company’s sole responsibility is to its Client and this document does not exonerate parties to a transaction
at the time of its intervention only by UV/Vis Spectrometry.
Unless otherwise stated the results shown in this test report refer only to the sample(s) tested. This test report cannot be reproduced, except in full, without prior written permissionfrom exercising all their rights and obligations under the transaction documents. Any unauthorized alteration, forgery or falsification of the content or appearance of this document is unlawful and
of the Company.
temperature to extract
Power Resistor RoHS Test
This Test Report is issued by the Company under its General Conditions of Service printed overleaf or available on request and(5) Determination of PBB and PBDE by GC/MS.
除非另有說明,此報告結果僅對測試之樣品負責。本報告未經本公司書面許可,不可部分複製。 offenders may be prosecuted to the fullest extent of the law.
accessible at http://www.sgs.com/terms_and_conditions.htm. Attention Ltd.
SGS Taiwan Residue
** End of Report **
is drawn to the limitation of liability, indemnification and jurisdiction issues defined therein. Any holder of this Test Report is advised that information contained hereon reflects the Company’s findings Solution
台灣檢驗科技股份有限公司 Chemical-Taipei 33 WuChyuan Road, Wuku Industrial Zone, Taipei County, Taiwan /台北縣五股工業區五權路33號 t + 886 (02)2299 3279 f + 886 (02)2299 3237 www.sgs.com
at the time of its intervention only and within the limits of Client’s instructions, if any. The Company’s sole responsibility is to its Client and this document does not exonerate parties to a transaction
from exercising all their rights and obligations under the transaction documents. Any unauthorized alteration, forgery or falsification of the content or appearance of this document is unlawful and Member of the SGS Group (SGS SA) Cool, filter digestate
offenders may be prosecuted to the fullest extent of the law. Test Result(s) : Please refer to next page(s).
• Dates
through filter
Report
SGS Taiwan Ltd.
台灣檢驗科技股份有限公司 Chemical-Taipei 33 WuChyuan Road, Wuku Industrial Zone, Taipei County, Taiwan /台北縣五股工業區五權路33號 t + 886 (02)2299 3279 f + 886 (02)2299 3237 www.sgs.com 1) Alkali Fusion
Member of the SGS Group (SGS SA) 2) HCl to dissolve
Add diphenyl-carbazide for
ICP-AES
color development
Sample Material
Steel, copper, aluminum, solder
Glass
Digestion Acid
Aqua regia, HNO3 , HCl, HF, H 2O2
HNO3 /HF
• Signature measure the absorbance
at 540 nm by UV-VIS
MODEL: PWR263S Gold, platinum, palladium, ceramic
Silver
Aqua regia
HNO3
• This lab is fairly well known
Plastic H2 SO4 , H2O2 , HNO 3, HCl
Others Any acid to total digestion
Unless otherwise stated the results shown in this test report refer only to the sample(s) tested. This test report cannot be reproduced, except in full, without prior written permission of the Company.
除非另有說明,此報告結果僅對測試之樣品負責。本報告未經本公司書面許可,不可部分複製。
This Test Report is issued by the Company under its General Conditions of Service printed overleaf or available on request and accessible at http://www.sgs.com/terms_and_conditions.htm. Attention
is drawn to the limitation of liability, indemnification and jurisdiction issues defined therein. Any holder of this Test Report is advised that information contained hereon reflects the Company’s findings
at the time of its intervention only and within the limits of Client’s instructions, if any. The Company’s sole responsibility is to its Client and this document does not exonerate parties to a transaction
• Product Identification is very clear
Unless otherwise stated the results shown in this test report refer only to the sample(s) tested. This test report cannot be reproduced, except in full, without prior written permission of the Company.
from exercising all their rights and obligations under the transaction documents. Any unauthorized alteration, forgery or falsification of the content or appearance of this document is unlawful and 除非另有說明,此報告結果僅對測試之樣品負責。本報告未經本公司書面許可,不可部分複製。
offenders may be prosecuted to the fullest extent of the law. This Test Report is issued by the Company under its General Conditions of Service printed overleaf or available on request and accessible at http://www.sgs.com/terms_and_conditions.htm. Attention
SGS Taiwan Ltd. is drawn to the limitation of liability, indemnification and jurisdiction issues defined therein. Any holder of this Test Report is advised that information contained hereon reflects the Company’s findings
Unless otherwise stated the results shown in this test report refer only to the sample(s) tested. This test report cannot be reproduced, except in full, without prior written permissionthe time Company.
at
of the of its intervention only and within the limits of Client’s instructions, if any. The Company’s sole responsibility is to its Client and this document does not exonerate parties to a transaction
台灣檢驗科技股份有限公司 Chemical-Taipei 33 WuChyuan Road, Wuku Industrial Zone, Taipei County, Taiwan /台北縣五股工業區五權路33號 t + 886 (02)2299 3279 f + 886 (02)2299 3237 www.sgs.com
除非另有說明,此報告結果僅對測試之樣品負責。本報告未經本公司書面許可,不可部分複製。 from exercising all their rights and obligations under the transaction documents. Any unauthorized alteration, forgery or falsification of the content or appearance of this document is unlawful and
This Test Report is issued by the Company under its General Conditions of of the SGS Group (SGSoverleaf or available on request and accessible at http://www.sgs.com/terms_and_conditions.htm. Attention
Member Service printed SA) offenders may be prosecuted to the fullest extent of the law.
is drawn to the limitation of liability, indemnification and jurisdiction issues defined therein. Any holder of this Test Report is advised that information contained hereon reflects the Company’s findingsLtd.
SGS Taiwan
at the time of its intervention only and within the limits of Client’s instructions, if any. The Company’s sole responsibility is to its Client and this document does not exonerate parties to a transaction
台灣檢驗科技股份有限公司 Chemical-Taipei 33 WuChyuan Road, Wuku Industrial Zone, Taipei County, Taiwan /台北縣五股工業區五權路33號 t + 886 (02)2299 3279 f + 886 (02)2299 3237 www.sgs.com
from exercising all their rights and obligations under the transaction documents. Any unauthorized alteration, forgery or falsification of the content or appearance of this document is unlawful and
offenders may be prosecuted to the fullest extent of the law. Member of the SGS Group (SGS SA)
SGS Taiwan Ltd.
台灣檢驗科技股份有限公司 Chemical-Taipei 33 WuChyuan Road, Wuku Industrial Zone, Taipei County, Taiwan /台北縣五股工業區五權路33號 t + 886 (02)2299 3279 f + 886 (02)2299 3237 www.sgs.com
Member of the SGS Group (SGS SA)
C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REAC H | R o H S | CP s i a | RSL | p r o p 6 5 ]